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Content
September 2004, Volume 12, Issue 3
- 248-262 A critical analysis of depolarisation
by Patrick John Ring - 263-274 Management views about desired capital: The case of UK banks and building societies
by Isaac Alfon & Isabel Argimon & Patricia Bascuñana‐Ambros
June 2004, Volume 12, Issue 2
- 106-110 Does regulation make it worse?
by David Jackman - 111-117 Collective action with respect to bonds issued under German law
by Hendrik Haag & Daniel Weiβ - 118-127 Constraints on discretion: Distributing surplus in with‐profits life insurance
by Chris O’Brien - 128-131 Duties of insurance brokers
by John Virgo & Philip Ryley - 132-150 Predictable pricing errors and fair value pricing of US‐based international mutual funds
by Timothy E. Jares & Angeline M. Lavin - 151-169 Unification in financial sector supervision: The trade‐off between central bank and single authority
by Donato Masciandaro - 170-177 Mutual fund market timing: A tale of systemic abuse and executive malfeasance
by James B. McCallum
March 2004, Volume 12, Issue 1
- 9-13 Not another damned exam!?!
by David Bland - 15-21 Developments in FSA enforcement law: From N2 to the arrival of Callum McCarthy
by Graham O’Connell - 22-35 Basel II: Vintage 2003
by Andrew Cornford - 36-44 Integration of EU financial markets supervision: Harmonisation or unification?
by Andreas Grünbichler & Patrick Darlap - 45-50 Taxation and corporate strategy in the single market
by Travis Barker - 51-63 Has the Security and Exchange Commission’s Rule 421 made mutual fund prospectuses more accessible?
by Don T. Johnson - 64-74 Microfinance regulation influence on small firms’ financing in Tanzania
by Tadeo Andrew Satta
December 2003, Volume 11, Issue 4
- 297-302 Basel II: The road ahead
by Jaime Caruana - 303-308 European Court of Justice opens the way for pan‐European occupational pensions
by Jan‐Mikael Bexhed - 309-322 Post‐Enron developments in UK audit and corporate governance regulation
by Ian P. Dewing - 323-328 Case study: Where is the risk in transaction monitoring?
by Frank Veyder - 329-348 The impact of e‐commerce developments on consumer welfare ‐ Information disclosure regimes
by Jennifer Hamilton & Lorna E. Gillies - 349-376 Evaluating market supervision through an overview of trading halts in the Portuguese stock market
by João Duque & Ana Rita Fazenda
September 2003, Volume 11, Issue 3
- 211-218 Revision of the Investment Services Directive
by Jonathan Herbst - 219-224 The Investment Services Directive ‐ Routemap or obstacle course?
by Angela Knight - 225-235 Individual and corporate compliance competence: An ethical approach
by Jonathan Edwards - 236-240 All in the name of competition: European securities exchanges
by Paul Arlman - 241-249 The Financial Services Authority and credit unions ‐ A new era in regulation?
by Nicholas Ryder - 250-265 And then there were four: A study of UK audit market concentration ‐ causes, consequences and the scope for market adjustment
by Vivien Beattie & Alan Goodacre & Stella Fearnley
June 2003, Volume 11, Issue 2
- 105-112 A brief guide to the current proposals for mortgage regulation in the UK
by Philip Ryley & John Virgo - 113-120 The FSA approach to the supervision of outsourcing
by Peter McCormack - 121-137 Contracts and competition in the regulation of European stock exchanges
by David G. Mayes - 138-145 A brave new world: The impact of domestic and international regulation on money laundering prevention in the UK
by Antony Whitehouse - 146-150 N2+1: A review of FSA enforcement and discipline since N2
by Philip Parish - 151-163 Monitoring the success of policy initiatives to increase consumer understanding of financial services
by James F. Devlin - 164-168 Weather risk management
by Carole Edrich - 169-184 The legal approach to investment advisers in different jurisdictions
by Roman Jordans - 185-188 Regulatory and legal commentary
by Joanna Gray
March 2003, Volume 11, Issue 1
- 10-20 Compliance competent life assurance companies: A partnership approach
by Jonathan Edwards - 21-25 Cross‐border services into Germany
by Andreas Steck & Kristian Landegren - 26-36 Lending decision making and the Competition Commission report on the provision of banking services to small firms
by John K. Ashton & Kevin Keasey - 37-44 Better than best execution? The Financial Services Authority’s new proposals to reform UK best execution requirements
by David Capps - 45-59 Banking regulation and supervision in Japan: Some issues and concerns
by Maximilian J.B. Hall - 60-70 Crisis and fraud
by Pascal Blanque - 71-80 The impact of regulatory change on retail financial product distribution in the UK
by Kevin Littler & Robert Hudson
December 2002, Volume 10, Issue 4
- 313-316 Operational risk management for financial institutions
by Michael Foot - 317-328 Keeping dirty money and terrorist funds away: The proposed Money Laundering Regulation of the Swiss Federal Banking Commission
by Eva H.G. Hüpkes - 329-335 Risk‐based regulation in the Financial Services Authority
by Carol Sergeant - 336-340 Legal and regulatory protections for hedge fund investors
by Simon Firth & Alix Prentice - 341-354 11th September and revelations from the Enron collapse add to the mounting pressure on offshore financial centres
by Jackie Johnson - 355-360 Mindsets and consequences in corporate governance and control: Part 2
by Carole Edrich - 361-371 Non‐executive directors and the Higgs consultation paper, ‘Review of the role and effectiveness of non‐executive directors’
by Kevin Keasey & Robert Hudson - 372-384 Section 20 versus investment house underwriting of small equity initial public offerings in the USA
by Nancy L. Beneda
September 2002, Volume 10, Issue 3
- 209-218 Cruickshank’s recommendations as to the future of the UK payment system
by John K. Ashton & Gary Boyes - 219-223 Practical aspects of implementing a Basel II‐compliant economic capital framework
by Bert Bruggink & Eugen Buck - 224-242 The 1998‐99 banking crisis in Uganda: What was the role of the new capital requirements?
by Paul Mpuga - 243-253 FSA Consultation Paper 121 and the move to depolarisation ‐ A critical analysis
by Patrick Ring - 254-265 Financial regulation of public limited companies in the UK: A way forward post‐Enron
by SteIIa Fearnley & Richard Brandt & Vivien Beattie - 266-278 A fraud detection model: A must for auditors
by Maria Krambia‐Kapardis - 279-283 Mindsets and consequences in corporate governance and control: Part 1
by Carole Edrich - 284-289 Senior managers and discipline
by Philip Ryley & John Virgo
June 2002, Volume 10, Issue 2
- 105-114 New mindsets and new skills: The strategic importance of continuous competence in emerging financial services business models
by Gary Storer & Amin Rajan - 115-134 Incentive compatibility and the optimal design of deposit protection schemes: An assessment of UK arrangements
by Maximilian J.B. Hall - 135-140 To polarise or not to polarise
by Paul Smee - 141-161 Information exchange and the offshore financial centres
by Richard J. Hay - 162-167 The business cycle in a globalising new economy: Implications for bank regulation and monetary policy
by Andy Mullineux - 168-176 UK energy trading regulation: The EMP regime
by Edward J. Swan & Darren Fox
March 2002, Volume 10, Issue 1
- 15-21 How reliable are the recommendations of the Cruickshank Report? An assessment of market definition in UK competition analysis of retail banking markets
by John K. Ashton - 22-30 The bank selection process and market definition in Australia
by Ross Jones & Jim Nielsen & Rowan Trayler - 31-36 Regulation of insurance services in the Czech Republic
by Vladimir Mráz - 37-54 Customer service, complaints management and regulatory compliance
by Joy Terentis & Fabian Sander & Maureen Madden & Merlin Stone & David Cox - 55-67 Financial globalisation: Is it a threat to key central bank functions? The case of Mauritius
by John Adams - 68-78 Regulation of statutory audit in the European Union: New developments
by Ian P. Dewing & Peter Russell
April 2001, Volume 9, Issue 4
- 305-311 Revisions to international bank solvency standards: A UK supervisory perspective
by Terry Allen - 312-326 Minimum capital requirements and the design of the new Basel Accord: A constructive critique
by Alistair Milne - 327-337 A regulatory regime and the new Basel Capital Accord
by David T. Llewellyn - 338-349 MIMIC: A proposal for deposit insurance reform
by James A. Wilcox - 350-360 Too much regulation?
by Geoffrey E. Wood - 361-372 ‘Too big to fail’: Effects on competition and implications for banking supervision
by Michael Wolgast - 373-380 R (on the application of Fleurose) v Securities and Futures Authority Ltd and another
by J Morrison & Joanna Gray - 381-384 Lloyds TSB General Insurance Holdings Ltd and others v Lloyds Bank Group Insurance Co Ltd; Abbey National plc v Lee and others
by J Moore‐Bick
March 2001, Volume 9, Issue 3
- 211-217 Why comply?
by David Jackman - 218-224 The impact of the new FSA ‘Training and Competence’ requirements upon senior management and the new ‘senior management’ arrangements
by Chris Taylor - 225-236 M&As in the financial industry: A matter of concern for bank supervisors?
by Michael Wolgast - 237-244 Financial services and markets: Civil rights of action
by George Staple & Karen Anderson - 245-252 The Financial Services Authority's new approach to regulation
by David Capps & Sam Linsley - 253-273 Jordanian, Kuwaiti and Omani securities regulation: Can they be the subject matter of a viable comparative study with EU securities regulation? (Part Two)
by Lu'ayy Minwer Al‐Rimawi - 275-278 R v Secretary of State for the Environment, Transport and the Regions ex parte Holding and Barnes plc and others
by Slynn LJ & Nolan LJ & Hoffmann LJ & Hutton LJ & Clyde LJ & Joanna Gray - 279-283 Three Rivers District Council v Governor and Company of Bank of England
by Steyn LJ & Hope LJ & Hutton LJ & Hobhouse LJ & Millett LJ
February 2001, Volume 9, Issue 2
- 104-110 Cross‐border financial services and alternative dispute resolution in the European Economic Area
by David Thomas - 111-123 A regulatory framework for community development financial institutions
by Andy Mullineux & Ed Mayo - 124-135 Market abuse: Statutory exceptions and defences — What protection is available?
by Jonathan Herbst & Katie McCaw - 136-150 Deposit insurance design and bank regulation in South Africa
by Charles C. Okeahalam & Tudor Maxwell - 151-160 Regulating securities fraud: Evidence from unauthorised trading cases
by Michael Bowe & Gregory Jobome - 161-170 The Cruickshank report on competition in UK banking: Assessment and implications
by Michael Wolgast - 171-180 Unsuccessful judicial review: London Metal Exchange disciplinary action R v The London Metal Exchange Limited ex parte Albatros Warehousing BV
by Joanna Gray
January 2001, Volume 9, Issue 1
- 11-29 ‘An academic ombudsman’
by Julian Farrand - 30-37 Pension reform, capital markets and corporate governance in Malaysia
by Mukul G. Asher - 38-41 Levelling the playing field in international financial markets: The Basel Accord revisited
by Rahul Dhumale - 42-55 Financial regulation in Ireland: Should the regulator be the Central Bank?
by Jim Stewart - 56-66 Proposed EC Directive on the distance selling of financial services
by Alan Davis - 67-80 The theory of regulation: A review article
by Chibuike Ugochukwu Uche - 81-89 Electronic commerce and wholesale financial services
by Timothy Baker - 91-95 Defamation appeal: Court of Appeal rules that qualified privilege applies in respect of letter to regulator Mahon and Another v Rahn and Others
by Brooke LJ & Mantell LJ & Laws LJ
April 2000, Volume 8, Issue 4
- 289-299 Banking regulation and supervision in Tanzania, Uganda and Zambia: A review of banking sector reforms
by Samuel Munzele Maimbo - 300-308 Raising the threshold for audit exemption for small companies: Some implications for other users of audit services
by Stella Fearnley & Tony Hines & Karen McBride & Richard Brandt - 309-325 An ideal regulatory model for dealing with retail financial institution runs and failures
by R.B. Lambert & A. Simon - 326-332 How to encourage whistleblowing
by David Crook - 333-343 Education, advice, and the Financial Services Authority's statutory objective
by Patrick Ring - 344-348 How the FSMA will impact on retail financial services
by Simon Morris - 349-357 Jordanian, Kuwaiti and Omani securities regulation: Can they be the subject matter of a viable comparative study with EU securities regulation? (Part One)
by Lu'ayy Minwer Al‐Rimawi - 359-364 House of Lords rules on Bank of England immunity in respect of BCCI supervision Three Rivers District Council and others v Governor and Company of the Bank of England
by Steyn LJ & Hutton LJ & Millet LJ & Joanna Gray
March 2000, Volume 8, Issue 3
- 201-209 Senior management responsibilities under the new regulatory regime
by James Bagge - 210-214 Examining the new market abuse regime
by Gay Wisbey - 215-227 Disciplinary procedure: ‘The new regime’
by Philip Ryley & John Virgo - 228-236 Investigation powers: ‘The new regime’
by John Virgo & Philip Ryley - 237-255 The Financial Services and Markets Act cross‐border issues
by Charles Abrams - 256-268 The use of league tables in financial services
by Rob Jones & Kevin Keasey - 269-279 Regulatory and Legal Commentary
by Joanna Gray
February 2000, Volume 8, Issue 2
- 109-117 Fitness and propriety in financial services in the 21st century
by John Virgo & Philip Ryley - 118-130 Proposals for the regulation of statutory audit in the European Union: A commentary
by Ian P. Dewing & Peter O. Russell - 131-139 Deposit insurance: Is it a plausible option for the Eastern Caribbean Currency Union?
by Tracy D. Polius & Amos C. Peters - 140-150 Insurance contract law and regulation and competition in the UK insurance industry: The missing link
by Lisa Martine Bowyer - 151-156 Early warning systems: Helping to steer a safer course
by Allan Smith - 157-159 Banking regulation in an era of structural adjustment: The case of Nigeria
by Chibuike Ugochukwu Uche - 170-179 Desired vis‐à‐vis required interim disclosures
by Hannu J. Schadewitz & Antti J. Kanto & Hannu A. Kahra & Dallas R. Blevins - 181-191 From ‘effects‐based’ regulation to a return to the reasonableness standard?
by Joanna Gray
January 2000, Volume 8, Issue 1
- 9-15 Re‐Regulating banks: The unfinished agenda
by Andy Mullineux - 16-35 Problems and politics of regulatory fragmentation: The case of the Financial Reporting Review Panel and the Institute of Chartered Accountants in England and Wales
by Stella Fearnley & Tony Hines & Karen McBride & Richard Brandt - 36-56 Deposit insurance in theory and practice
by Richard Dale - 57-66 Hong Kong's new compulsory stock borrowing programme
by Lynn Bai - 67-77 Money laundering and the Internet: A challenge for regulation
by Rob Jones & Kevin Keasey - 78-81 Mahon and another v Rahn and others
by Joanna Gray - 84-93 Future legislation affecting financial services
by Lucy Inger
April 1999, Volume 7, Issue 4
- 305-322 Liability of financial advisers for pensions mis‐selling
by Philip Ryley & John Virgo - 323-330 Enforcing compliance with accounting standards: The role of the Financial Reporting Review Panel in the UK regulatory framework
by Robert E. Jupe - 331-338 Going Dutch: Catch‐all insider trading
by Marc Groenhuijsen & François Kristen - 339-352 Cost‐benefit analysis in financial regulation: How to do it and how it adds value
by Isaac Alfon & Peter Andrews - 353-360 Minimising the cost of FSA supervision
by Roger Turner - 361-378 European Monetary Union: Legal compliance for IT systems — Après ‘Le Weekend’
by Alan Hawley - 379-384 Trust status for ‘surpluses’ account set up during wind down of SFA member firm
by Joanna Gray - 385-387 Court of Appeal rules on the scope of s.47 of the Financial Services Act 1986
by Evans LJ & Ward LJ & Mummery LJ & David Capps - 388-391 Website review
by Martyn Kendrick
March 1999, Volume 7, Issue 3
- 209-218 Highly leveraged institutions: Possible regulatory responses
by Jeremy Richardson - 219-233 The emerging market crisis and its aftermath in Latin America
by Gustavo Cañonero & Liliana Rojas Suárez - 234-242 Central banks as lenders of last resort: Lessons from the Asian contagion
by Rosa Maria Lastra - 243-249 The Asian crisis and the process of financial contagion
by Franklin Allen & Douglas Gale - 250-255 New Zealand's approach to bank supervision
by John Turner & Peter Oyelere - 256-269 Supervisory reform in Japan
by Maximilian J.B. Hall - 271-273 Bankers Trust Company and Bankers Trust International plc v PT Jakarta International Hotels & Development
by Joanna Gray - 282-285 Asian Economic Crisis
by Martyn Kendrick
February 1999, Volume 7, Issue 2
- 105-113 Papers Brazilian banking and stabilisation
by Roberto Luis Troster - 108-200 Website review
by Martyn Kendrick - 114-136 Czech Republic, Hungary and Poland: Development of collective investment funds and securities markets
by Mark St Giles - 137-147 Financial liberalisation, financial crisis and the new regime: The Korean experience
by Yong‐Doo Cho & Dong‐Won Kim - 149-176 Emerging markets of the Middle East: A critique of selected issues in Arab securities regulation
by Lu'ayy Minwer Al‐Rimawi - 177-182 Russia: A market yet to emerge
by John Chown - 183-197 Paths to recovery in Thailand and Indonesia
by Andy Mullineux & Juda Agung & Adisorn Pinijkulviwat
January 1999, Volume 7, Issue 1
- 13-16 Risk management in insurance
by David E. Bland - 17-21 Risk management and the retail sector: A banking perspective
by Tansy Hepton - 22-26 Risk‐based compliance monitoring
by Dawn Batchelor - 27-30 Risk management from a banking compliance officer's viewpoint
by John Fox - 31-47 Audit regulation: A partial solution expanded
by Vivien Beattie & Richard Brandt & Stella Fearnley - 48-56 Automated compliance systems
by Fredda E. Ackerman & R. Darrell Mounts & David U. Thomas - 57-67 Corporate governance: Cadbury, Greenbury and Hampel — A review
by Helen Short - 69-72 Website review
by Martyn Kendrick - 75-81 In the matter of Market Wizard Systems (UK) Limited and in the matter of the Insolvency Act 1986
by Joanna Gray - 82-89 J. Rothschild Assurance plc v John Robert Collyear (First Defendant) and others
by J Rix
April 1998, Volume 6, Issue 4
- 305-312 A prospectus from the FSA: Its approach to regulation
by David T Llewellyn - 312-319 Principles of effective regulation and supervision of banks
by David T Llewellyn - 320-325 The new financial regulatory regime and the regulation of insurance
by Mark Boléat - 326-350 The structure of financial regulation
by Richard Dale & Simon Wolfe - 351-356 Finanzplatz Deutschland: Modernisation and regulatory reform
by Norbert Walter - 357-364 The Financial Services and Markets Bill and the role of Lloyd's
by John Young CBE - 365-370 Gearing up for the FSA regime
by Simon Morris - 371-378 The unified compulsory ombudsman scheme
by Walter Merricks - 379-383 The Financial Services and Markets Bill: A legal perspective
by Jonathan Middleburgh - 385-388 Website review
by Martyn Kendrick
March 1998, Volume 6, Issue 3
- 211-218 Banking litigation strategies after Woolf
by David Jones‐Parry & Simon James - 219-223 Achieving a coordinated approach to compliance in a global business
by Matthew King - 224-230 Choice of law clauses in customer agreements: NASD conduct rule 3110(f)(4)
by Barry R. Goldsmith & Thomas B. Lawson - 231-237 Fraud, prosecution and regulation: Achieving effective control
by Michael J. Clarke - 238-248 Developments in the German equity market and its regulation
by Rüdiger von Rosen - 249-252 Waking up to the nightmare: Winners and losers after EMU
by John L. Langton - 253-261 Lessons from recent banking crises
by David T. Llewellyn - 265-268 Introduction to the Website review
by Martyn Kendrick - 271-277 BCCI (Overseas) Ltd, BCCI Holdings (Luxembourg) SA and BCCI SA (all three appellants in liquidation) v Price Waterhouse and Ernst & Whinney
by Joanna Gray - 278-285 Century National Merchant Bank Limited and Others v Davies and Others
by Lords Goff of Chieveley & Lloyd of Berwick & Steyn & Hoffman & Hope of Craighead
February 1998, Volume 6, Issue 2
- 107-134 Reducing systemic risk in payment and securities settlement systems
by Marc Vereecken - 135-149 Financial services regulation and the Internet
by Heather Rowe - 150-158 The new Financial Services Authority: Plans for implementation
by Andrew Hilton - 159-170 Auditor independence and the expectations gap: Some evidence of changing user perceptions
by Vivien Beattie & Richard Brandt & Stella Fearnley - 178-183 Joseph Gerald Taylor v Investors Compensation Scheme
by Beldam LJ & Potter LJ & J Balcombe - 184-196 Financial Services Authority Limited (formerly the Securities and Investments Board) v Scandex and Another
by Hobhouse LJ & Millett LJ & Otton LJ
January 1998, Volume 6, Issue 1
- 11-20 Direct taxation and bank disclosure in the context of the law of the European Union
by Nicholas Dorn & Simone White - 21-25 Regulating financial reporting on the Internet
by Roger Hussey & James Gulliford - 26-30 The future of regulation of collective investment schemes
by Oliver Lodge - 31-38 Developments in voluntary self‐regulation
by Nicola Jamison - 39-45 The marketing of investments
by Nicholas Walmsley