Journal of Financial Regulation and Compliance

1992 - 2024

Current editor(s): Prof John Ashton

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Implementing Basel II: A case study based on the Barclays Basel II preparations pp. 297-305: Ian Wilson
Market abuse – A pan‐European approach pp. 306-314: Carmen Reynolds and Mathew Rutter
The new market abuse regime in Greece: A step towards increased market transparency or a new source of confusion? pp. 315-329: Panagiotis K. Staikouras
Seven points financial services institutions should know about IT spending for compliance pp. 330-339: Virginia Garcia
Personalities of risk/reward: Human factors of risk/reward and culture pp. 340-350: Michael Mainelli
Economic capital in the limelight pp. 351-358: Hubert Mueller and José Siberón
Corporate governance and disclosure in Africa: Issues and challenges pp. 359-370: Charles C. Okeahalam

The FSA: The first six years pp. 201-205: Michael Foot
Europe’s securities regulators working together under the new EU regulatory framework pp. 206-215: Arthur Docters van Leeuwen and Fabrice Demarigny
The compliance function in banks pp. 216-224: Jonathan Edwards and Simon Wolfe
Risk‐based capital requirements and their impact upon the banking industry: Basel II and CAD III pp. 225-239: Rosa Maria Lastra
Implementing Basel II in the Norwich and Peterborough Building Society pp. 240-247: Jeffrey Pritchard
A critical analysis of depolarisation pp. 248-262: Patrick John Ring
Management views about desired capital: The case of UK banks and building societies pp. 263-274: Isaac Alfon, Isabel Argimon and Patricia Bascuñana‐Ambros

Does regulation make it worse? pp. 106-110: David Jackman
Collective action with respect to bonds issued under German law pp. 111-117: Hendrik Haag and Daniel Weiβ
Constraints on discretion: Distributing surplus in with‐profits life insurance pp. 118-127: Chris O’Brien
Duties of insurance brokers pp. 128-131: John Virgo and Philip Ryley
Predictable pricing errors and fair value pricing of US‐based international mutual funds pp. 132-150: Timothy E. Jares and Angeline M. Lavin
Unification in financial sector supervision: The trade‐off between central bank and single authority pp. 151-169: Donato Masciandaro
Mutual fund market timing: A tale of systemic abuse and executive malfeasance pp. 170-177: James B. McCallum

Not another damned exam!?! pp. 9-13: David Bland
Developments in FSA enforcement law: From N2 to the arrival of Callum McCarthy pp. 15-21: Graham O’Connell
Basel II: Vintage 2003 pp. 22-35: Andrew Cornford
Integration of EU financial markets supervision: Harmonisation or unification? pp. 36-44: Andreas Grünbichler and Patrick Darlap
Taxation and corporate strategy in the single market pp. 45-50: Travis Barker
Has the Security and Exchange Commission’s Rule 421 made mutual fund prospectuses more accessible? pp. 51-63: Don T. Johnson
Microfinance regulation influence on small firms’ financing in Tanzania pp. 64-74: Tadeo Andrew Satta

Basel II: The road ahead pp. 297-302: Jaime Caruana
European Court of Justice opens the way for pan‐European occupational pensions pp. 303-308: Jan‐Mikael Bexhed
Post‐Enron developments in UK audit and corporate governance regulation pp. 309-322: Ian P. Dewing
Case study: Where is the risk in transaction monitoring? pp. 323-328: Frank Veyder
The impact of e‐commerce developments on consumer welfare ‐ Information disclosure regimes pp. 329-348: Jennifer Hamilton and Lorna E. Gillies
Evaluating market supervision through an overview of trading halts in the Portuguese stock market pp. 349-376: João Duque and Ana Rita Fazenda

Revision of the Investment Services Directive pp. 211-218: Jonathan Herbst
The Investment Services Directive ‐ Routemap or obstacle course? pp. 219-224: Angela Knight
Individual and corporate compliance competence: An ethical approach pp. 225-235: Jonathan Edwards
All in the name of competition: European securities exchanges pp. 236-240: Paul Arlman
The Financial Services Authority and credit unions ‐ A new era in regulation? pp. 241-249: Nicholas Ryder
And then there were four: A study of UK audit market concentration ‐ causes, consequences and the scope for market adjustment pp. 250-265: Vivien Beattie, Alan Goodacre and Stella Fearnley

A brief guide to the current proposals for mortgage regulation in the UK pp. 105-112: Philip Ryley and John Virgo
The FSA approach to the supervision of outsourcing pp. 113-120: Peter McCormack
Contracts and competition in the regulation of European stock exchanges pp. 121-137: David Mayes
A brave new world: The impact of domestic and international regulation on money laundering prevention in the UK pp. 138-145: Antony Whitehouse
N2+1: A review of FSA enforcement and discipline since N2 pp. 146-150: Philip Parish
Monitoring the success of policy initiatives to increase consumer understanding of financial services pp. 151-163: James F. Devlin
Weather risk management pp. 164-168: Carole Edrich
The legal approach to investment advisers in different jurisdictions pp. 169-184: Roman Jordans
Regulatory and legal commentary pp. 185-188: Joanna Gray

Compliance competent life assurance companies: A partnership approach pp. 10-20: Jonathan Edwards
Cross‐border services into Germany pp. 21-25: Andreas Steck and Kristian Landegren
Lending decision making and the Competition Commission report on the provision of banking services to small firms pp. 26-36: John K. Ashton and Kevin Keasey
Better than best execution? The Financial Services Authority’s new proposals to reform UK best execution requirements pp. 37-44: David Capps
Banking regulation and supervision in Japan: Some issues and concerns pp. 45-59: Maximilian Hall
Crisis and fraud pp. 60-70: Pascal Blanque
The impact of regulatory change on retail financial product distribution in the UK pp. 71-80: Kevin Littler and Robert Hudson