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Emerald Group Publishing

Journal of Financial Regulation and Compliance

Contact information of Emerald Group Publishing:
Web page: http://www.emeraldinsight.com

Order information:
Postal: Emerald Group Publishing, Howard House, Wagon Lane, Bingley, BD16 1WA, UK
Email:
Web: http://www.emeraldinsight.com/jfrc.htm
Pricing information: 830 GB pounds
Download restrictions: Articles are not free to download
Editor:
For technical questions regarding this series, please contact (Rebecca Forster)
Series handle: repec:eme:jfrcpp

2009, Volume 17, Issue 2

86-95 Financial supervision in the EU: is there convergence in the national architectures?
by Donato Masciandaro & Maria Nieto & Marc Quintyn [Downloadable! (restricted)]
96-118 How small are the banking sectors in central and Eastern European countries really?
by Valeriya Dinger & Jurgen von Hagen [Downloadable! (restricted)]
119-133 Competition issues in European banking
by Barbara Casu & Claudia Girardone [Downloadable! (restricted)]
134-145 Specialization versus diversification in venture capital investing
by James R. Bartkus & M. Kabir Hassan [Downloadable! (restricted)]
146-155 A note on ratings of international banks
by Roman Matousek & Chris Stewart [Downloadable! (restricted)]
156-171 Measuring and regulating extreme risk
by Ulf Nielsson [Downloadable! (restricted)]
172-178 High Court ruling on recoverability of claimants' losses arising from unauthorised insurance activity
by Joanna Gray [Downloadable! (restricted)]

2009, Volume 17, Issue 1

9-15 Chinese investment goes global: the China Investment Corporation
by Charlie Cai & Iain Clacher [Downloadable! (restricted)]
16-28 Japan : the banks are back! Or are they?
by Maximilian J.B. Hall [Downloadable! (restricted)]
29-40 Multinational banking in China after WTO accession: a survey
by Chen Meng [Downloadable! (restricted)]
41-56 An overview and assessment of the reform of the non-tradable shares of Chinese state-owned enterprise A-share issuers
by Paul B. McGuinness [Downloadable! (restricted)]
57-69 Market risk disclosure: evidence from Malaysian listed firms
by Radiah Othman & Rashid Ameer [Downloadable! (restricted)]

2009, Volume 3, Issue 3

186-209 Ignoring the lessons for effective prudential supervision, failed bank resolution and depositor protection
by Gillian G.H. Garcia [Downloadable! (restricted)]
210-239 A new standard for deposit insurance and government guarantees after the crisis
by Andrew Campbell & John Raymond LaBrosse & David G. Mayes & Dalvinder Singh [Downloadable! (restricted)]
240-276 Bankruptcy and reorganization procedures for cross-border banks in the EU: Towards an integrated approach to the reform of the EU safety net
by Gillian G.H. Garcia & Rosa M. Lastra & María J. Nieto [Downloadable! (restricted)]
277-301 Special bank resolution and shareholders' rights: balancing competing interests
by Eva Hüpkes [Downloadable! (restricted)]
302-317 Retail depositors, conduct of business and sanctioning
by Peter Cartwright [Downloadable! (restricted)]
318-335 Azerbaijan: deposit insurance system
by Afkan R. Isazade [Downloadable! (restricted)]
336-348 The role of the Fannie Mae/Freddie Mac duopoly in the American housing market
by David Reiss [Downloadable! (restricted)]
349-356 FSA challenge in Court of Appeal to finding of Financial Services and Markets Tribunal on question of whether solicitors' firm had contravened financial promotion regime
by Joanna Gray [Downloadable! (restricted)]

2008, Volume 4, Issue 4

290-317 Politicians, central banks, and the shape of financial supervision architectures
by Lucia Dalla Pellegrina & Donato Masciandaro [Downloadable! (restricted)]
318-334 Product market competition, regulation and dividend payout policy of Malaysian banks
by Rashid Ameer [Downloadable! (restricted)]
335-351 Compliance risk in Italian banks: the results of a survey
by Giuliana Birindelli & Paola Ferretti [Downloadable! (restricted)]
352-364 The impact of corporate fairness on the bank-SME relationship
by Fatima Vegholm & Lars Silver [Downloadable! (restricted)]
365-383 Waste makes haste: Sarbanes-Oxley, competitiveness and the subprime crisis
by Donald Nordberg [Downloadable! (restricted)]
384-413 Efficiency of authoritative disclosure recommendations: Evidence from IFRS transition disclosure in Finland
by Antti Miihkinen [Downloadable! (restricted)]
414-420 High court rules customer who opted from private to intermediate customer status to have been contributorily negligent to his spread betting losses
by Joanna Gray [Downloadable! (restricted)]
421-425 Court of appeal confirms decision that claim in relation to pension transfer and drawdown advice is time barred
by Joanna Gray [Downloadable! (restricted)]

2008, Volume 3, Issue 3

206-219 Defined contribution pensions: dealing with the reluctant investor
by Alistair Byrne & Debbie Harrison & David Blake [Downloadable! (restricted)]
220-229 Has regulation killed off the defined benefit scheme as a cost effective tool for human resource management?
by Robert Hudson [Downloadable! (restricted)]
230-238 A review of the risks, costs and benefits of defined contribution and defined benefit pension schemes
by Robert Watson [Downloadable! (restricted)]
239-250 The 2001-2005 price convergence in the A- and H-shares of Chinese state-owned enterprises: A story of unprecedented economic, regulatory and political change
by Thomas A. Birtch & Paul B. McGuinness [Downloadable! (restricted)]
251-260 Macro stress tests and history-based stressed PD: the case of Hong Kong
by Michael Chak-sham Wong & Yat-fai Lam [Downloadable! (restricted)]
261-273 Patterns of disclosure and volatility effects in speculative industries: The case of small and mid-cap metals and mining entities on the Australian securities exchange
by Phillip D. O'Shea & Andrew C. Worthington & David A. Griffiths & Dionigi Gerace [Downloadable! (restricted)]
274-280 High court rules negligence claim in relation to pension advice in relation to income draw down scheme is time barred
by Joanna Gray [Downloadable! (restricted)]
281-283 Financial services compensation scheme's claim for legal privilege upheld
by Joanna Gray [Downloadable! (restricted)]

2008, Volume 2, Issue 2

130-141 Hedge fund administrators and asset valuations – does it all add up?
by Harry McVea [Downloadable! (restricted)]
142-158 Trading strategies of the US-based international mutual funds and test of the SEC regulation
by M. Imtiaz Mazumder & Edward M. Miller & Atsuyuki Naka [Downloadable! (restricted)]
159-172 Developing a financial services planning profession in the UK: An examination of past and present developments
by John Gaskell & John Ashton [Downloadable! (restricted)]
173-187 Implementing Basel II: an investigation of the UAE banks' Basel II preparations
by Hussein A. Hassan Al-Tamimi [Downloadable! (restricted)]
188-191 Lloyd's names fail in claim against government based on failure to implement insurance directive
by Joanna Gray [Downloadable! (restricted)]
192-199 Financial services and markets tribunal rules on application of financial promotion regime
by Joanna Gray [Downloadable! (restricted)]

2008, Volume 1, Issue 1

8-18 Lessons from the Northern Rock affair
by Kevin Keasey & Gianluca Veronesi [Downloadable! (restricted)]
19-34 The sub-prime crisis, the credit squeeze and Northern Rock: the lessons to be learned
by Maximilian J.B. Hall [Downloadable! (restricted)]
35-58 The Northern Rock crisis: a multi-dimensional problem waiting to happen
by David T. Llewellyn [Downloadable! (restricted)]
59-76 Regulation and information asymmetry: Evidence from the performance of industrial and utility firms issuing seasoned equity in the USA
by Robyn McLaughlin & Assem Safieddine [Downloadable! (restricted)]
77-84 Diamond detail and gem fraud status
by J.D. Boles [Downloadable! (restricted)]
85-92 Regulation development and MiFID impact on collective investment in Spain
by Begoña Torre Olmo & Sergio Sanfilippo Azofra & Carlos López Gutiérrez [Downloadable! (restricted)]
93-107 A practitioner's guide to mortgage regulation
by Chris Cummings [Downloadable! (restricted)]
108-110 European Court of Justice clarifies circumstances in which financial institutions may exchange credit information without breaching competition law
by Fred Houwen [Downloadable! (restricted)]
111-115 Company directors' disqualification proceedings following the failure of FSA-regulated firm
by Joanna Gray [Downloadable! (restricted)]
116-119 Objection to terms of FSA decision notice heard by Financial Services and Markets Tribunal
by Joanna Gray [Downloadable! (restricted)]

2007, Volume 15, Issue 1

8-19 Financial sector convergence and corporate governance
by Andy Mullineux [Downloadable! (restricted)]

2007, Volume 4, Issue 4

360-380 Bank accounting and bank value: harmonising (d)effects of a common accounting culture?
by Ioannis Anagnostopoulos & Roger Buckland [Downloadable! (restricted)]
381-393 Evidence on UK directors' compliance with disclosure timing regulations
by Brian Balmforth & Bruce M. Burton & Stuart R. Cross & David M. Power [Downloadable! (restricted)]
394-408 How IFRS has destabilised financial reporting for UK non-listed entities
by Stella Fearnley & Tony Hines [Downloadable! (restricted)]
409-422 Characteristics of acquired firms: the case of the banking industry
by Scott I. Meisel [Downloadable! (restricted)]
423-449 It's all in the data – consistent operational risk measurement and regulation
by Andreas A. Jobst [Downloadable! (restricted)]
450-463 Credit default swap spread and succession events
by Halit Gonenc & Floris Schorer & Willem P.F. Appel [Downloadable! (restricted)]
464-471 Watching the watch-dog
by Richard Burger & William Dodsworth [Downloadable! (restricted)]
472-481 Navigating trans-atlantic deals: warranties, disclosure and material adverse change
by John Phillips & Julian Runnicles & Jeffery Schwartz [Downloadable! (restricted)]
482-486 Market abuse and the commodities markets
by Kyri Evagora & Gerald Licnachan [Downloadable! (restricted)]
487-491 Financial Ombudsman's statutory powers: Successful High Court challenge by financial adviser firms
by Joanna Gray [Downloadable! (restricted)]

2007, Volume 3, Issue 3

236-249 The debate over the economic rationale for investor protection regulation: a critical appraisal
by Andromachi Georgosouli [Downloadable! (restricted)]
250-261 Trends in Federal Reserve and Basel II A-IRB Bank governance
by Elizabeth Webb [Downloadable! (restricted)]
262-274 How increased enforcement can offset statutory deregulation: The case of the Community Reinvestment Act
by Donald F. Vitaliano & Gregory P. Stella [Downloadable! (restricted)]
275-302 Dynamics and regulatory system of Indian financial markets: A dialectic view
by A.K. Sharma & Ashutosh Vashishtha [Downloadable! (restricted)]
303-326 Who pays for banking supervision? Principles and trends
by Donato Masciandaro & Maria J. Nieto & Henriette Prast [Downloadable! (restricted)]
327-330 Managing the competition risks of communication between competitors
by Fred Houwen [Downloadable! (restricted)]
331-336 A principled front in the war against market abuse
by Richard Burger [Downloadable! (restricted)]
337-342 Court of appeal ruling on discovery in civil litigation of regulatory information protected from disclosure by section 348 FSMA
by Joanna Gray [Downloadable! (restricted)]
343-347 At FSA's application High Court orders winding-up of UK partnership which facilitated offshore boiler room share sales to UK investors
by Joanna Gray [Downloadable! (restricted)]

2007, Volume 2, Issue 2

135-142 The Financial Ombudsman Service: not just an alternative to court
by Walter Merricks [Downloadable! (restricted)]
143-155 Internal audit function role in operational risk management
by Ana Fernández-Laviada [Downloadable! (restricted)]
156-165 A risk-based approach to AML: A controversy between financial institutions and regulators
by Jos de Wit [Downloadable! (restricted)]
166-179 Mortality projections and unisex pricing of annuities in the UK
by Robert Hudson [Downloadable! (restricted)]
180-185 Prevention of corruption – UK legislation and enforcement
by George Brown [Downloadable! (restricted)]
186-198 Transparency proposals for European sovereign bond markets
by Peter G. Dunne [Downloadable! (restricted)]
199-209 Bank deregulation and acquisition activity: the cases of the US, Italy and Germany
by Jens Hagendorff & Michael Collins & Kevin Keasey [Downloadable! (restricted)]
210-216 Implementing AML/CFT measures that address the risks and not tick boxes
by Marcus Killick & David Parody [Downloadable! (restricted)]
217-220 Financial services and markets tribunal orders that costs of successful challenge to enforcement action for market abuse be paid by FSA
by Joanna Gray [Downloadable! (restricted)]
221-226 FThe discovery process in civil litigation and the restrictions on disclosure of Section 348 Financial Services and Markets Act 2000
by Joanna Gray [Downloadable! (restricted)]

2007, Volume 1, Issue 1

20-29 Reforming governance and regulation of urban cooperative banks in India
by Mukul G. Asher [Downloadable! (restricted)]
30-41 Corporate governance in Germany
by Rüdiger von Rosen [Downloadable! (restricted)]
42-62 Deposit insurance and credit unions: an international perspective
by Kevin M.G. Hannafin & Donal G. McKillop [Downloadable! (restricted)]
63-89 Do risk factors matter in the IPO valuation?
by Khaled Abdou & Mehmet F. Dicle [Downloadable! (restricted)]
90-98 MiFID impact on investment managers
by Stéphane Janin [Downloadable! (restricted)]
99-107 An appraisal of the Pensions White Paper proposals
by Howard Flight [Downloadable! (restricted)]
108-115 “If in doubt count it out!”: a review of the AIT criminal trial
by Samantha Hatt & Richard Burger [Downloadable! (restricted)]
116-121 Financial services and markets tribunal clarifies both its own jurisdiction and the scope of market abuse
by Joanna Gray [Downloadable! (restricted)]
122-125 Financial services and markets tribunal further clarifies scope of market abuse regime
by Joanna Gray [Downloadable! (restricted)]

2006, Volume 14, Issue 4

328-347 Integration, regulation, and policy of securities market infrastructures in the euro area
by Heiko Schmiedel & Andreas Schönenberger [Downloadable! (restricted)]
348-362 European supervisory convergence: a new dynamic
by Michael McKee [Downloadable! (restricted)]
363-374 The mortality risk of pensions – methods of control and policy implications for the UK
by Robert Hudson [Downloadable! (restricted)]
375-382 The corporate governance of banks
by Andy Mullineux [Downloadable! (restricted)]
383-401 Operational risk information system: a challenge for the banking sector
by Francisco Flores & Enrique Bónson-Ponte & Tomás Escobar-Rodríguez [Downloadable! (restricted)]
402-407 US regulators release joint-rule proposal regarding futures contracts on debt indexes and securities
by Andrew P. Cross [Downloadable! (restricted)]
408-410 The usual suspects?
by Richard Burger & George Davies [Downloadable! (restricted)]
411-417 Court castigates BCCI liquidators' claim against Bank of England
by Joanna Gray [Downloadable! (restricted)]
418-423 Financial services and markets tribunal turns down costs application from broker whom it had earlier found not to have engaged in market abuse
by Joanna Gray [Downloadable! (restricted)]

2006, Volume 14, Issue 3

235-241 Executive compensation in the UK
by Kevin Keasey [Downloadable! (restricted)]
242-253 Treating customers fairly
by Jonathan Edwards [Downloadable! (restricted)]
254-272 Re-thinking the regulatory environment of credit reporting: Could legislation stem privacy and discrimination concerns?
by Federico F. Ferretti [Downloadable! (restricted)]
273-284 Reforming provident and pension fund regulation in India
by Mukul G. Asher & Amarendu Nandy [Downloadable! (restricted)]
285-303 Product innovation and consumer choice in the UK financial services industry
by Laura A. Costanzo & John K. Ashton [Downloadable! (restricted)]
304-310 “Are you the weakest link?” The FSA's financial crime review
by Richard Burger & Samantha Hatt [Downloadable! (restricted)]
311-315 Financial Services and Markets Tribunal rules prohibition order is appropriate
by Joanna Gray [Downloadable! (restricted)]
316-320 Tribunal rejects FSA allegation of market abuse
by Joanna Gray [Downloadable! (restricted)]

2006, Volume 14, Issue 2

140-150 A compliance competence partnership approach model
by Jonathan Edwards & Simon Wolfe [Downloadable! (restricted)]
151-164 On the inception of sound derivative products in emerging markets: Real-world observations and viable solutions
by Mazin A.M. Al Janabi [Downloadable! (restricted)]
165-173 A review of financial and regulatory reforms in the gilt-edged market
by Farooq Ahmad & David Lal [Downloadable! (restricted)]
174-184 The relevance of value-at-risk disclosures: evidence from the LTCM crisis
by Niranjan Chipalkatti & Vinay Datar [Downloadable! (restricted)]
185-191 The impact of the 2004 research analyst rules on hedge fund research reports
by Keith H. Black & John Mauldin [Downloadable! (restricted)]
192-209 The effect of the SEC's regulation fair disclosure on analyst forecast attributes
by Rong Yang & Yaw M. Mensah [Downloadable! (restricted)]
210-216 Court of Appeal rules on solicitor's liability to make redress to investors
by Joanna Gray [Downloadable! (restricted)]
217-221 Question of legal nature of betting scheme under FSMA 2000 considered by Court of Appeal
by Joanna Gray [Downloadable! (restricted)]

2006, Volume 14, Issue 1

7-13 Banking supervision in a smaller financial centre – problems and recipes for success
by Michael Foot [Downloadable! (restricted)]
14-23 FSA enforcement process review
by Richard Burger [Downloadable! (restricted)]
24-28 Basel II – an opportunity for convergence in the EU
by José María Roldán [Downloadable! (restricted)]
29-36 Tackling cross-border market abuse
by Carlos Conceicao [Downloadable! (restricted)]
37-46 The privatisation process and evolving share ownership structure of Mainland China's leading state-owned enterprises
by Paul B. McGuinness [Downloadable! (restricted)]
47-56 Strategies and benefits of developing a market for government securities
by Juan Fernando Lucio [Downloadable! (restricted)]
57-69 Financial supervision in the Republic of Cyprus: the case for reform
by Phoebus Athanassiou [Downloadable! (restricted)]
70-83 What are the perils of separating banking regulation from the central bank's orbit in Latin America and the Caribbean?
by Edgardo Demaestri & Federico Guerrero [Downloadable! (restricted)]
84-111 Internal risk control benchmark setting for foreign exchange exposure: The case of the Moroccan Dirham
by Mazin A.M. Al Janabi [Downloadable! (restricted)]
112-118 Challenges facing banking in emerging markets: A case study of the Tanzanian national payments systems
by Iain Clacher & Joshua Doriye & Suleiman R. Mohamed & Tadeo Satta [Downloadable! (restricted)]
119-122 New company law reform bill: Power to order greater disclosure of exercise of voting rights by institutional investors
by Joanna Gray [Downloadable! (restricted)]
123-130 Was former chairman of Shell Group denied procedural fairness in the FSA's enforcement action against the group?: Financial Services and Markets Tribunal gives preliminary ruling
by Joanna Gray [Downloadable! (restricted)]

2005, Volume 13, Issue 4

293-300 Operational risk within an insurance market
by Stephen Manning & Andrew Gurney [Downloadable! (restricted)]
301-312 How the capital market laws affect the development of venture capital industry
by Jarunee Wonglimpiyarat [Downloadable! (restricted)]
313-323 Implementing the EU Capital Requirement Directive – key operational risk elements
by Andrew Sheen [Downloadable! (restricted)]
324-332 ‘The most valuable commodity I know of is information’
by Richard Burger & George Davies [Downloadable! (restricted)]
333-346 Trust and confidence in financial services: a strategic challenge
by David T. Llewellyn [Downloadable! (restricted)]
347-355 Commission consults on revision of the European electronic money regime
by Bob Penn [Downloadable! (restricted)]

2005, Volume 13, Issue 3

205-214 Transparency and the disclosure of risk information in the banking sector
by Philip M. Linsley & Philip J. Shrives [Downloadable! (restricted)]
215-223 Leveraging regulatory investments with portfolio risk-based pricing
by Paul Cartwright & Hanna Sarraf [Downloadable! (restricted)]
224-228 Creating and implementing an effective compliance monitoring policy
by Hannah Marshall [Downloadable! (restricted)]
229-253 Liberalisation and capital market performance: lessons from the Enron affair
by Rui T. Dias & M. Isabel Soares & Giuseppe Tardivo [Downloadable! (restricted)]
254-259 In the absence of trust is (obey me) the only mantra?
by Philippa Foster Back [Downloadable! (restricted)]
260-267 Informed choice: consumer preferences for information on pensions
by Barbara Summers & Christine Ironfield-Smith & Darren Duxbury & Robert Hudson & Kevin Keasey [Downloadable! (restricted)]

2005, Volume 13, Issue 2

110-120 The Lamfalussy process four years on
by Alexander Schaub [Downloadable! (restricted)]
121-131 Radical plan for investment trust regulation
by Daniel Godfrey [Downloadable! (restricted)]
132-141 Consumer debt in the UK: Attitudes and implications
by Christine Ironfield-Smith & Kevin Keasey & Barbara Summers & Darren Duxbury & Robert Hudson [Downloadable! (restricted)]
142-145 The interaction between FSA enforcement action and compliance culture: A help or a hindrance?
by Roger Turner [Downloadable! (restricted)]
146-166 The impact of financial forecasts regulation on IPO anomalies: Evidence from Taiwan
by Ya-Fang Wang & Picheng Lee & Chen-Lung Chin & Gary Kleinman [Downloadable! (restricted)]
167-176 The Greek three-pillar functional system in the presence of the European Union Banking Directives
by Themis D. Pantos & Reza Saidi [Downloadable! (restricted)]

2005, Volume 13, Issue 1

10-14 Supporting a risk-based anti-money laundering approach through enforcement action
by Andrew Proctor [Downloadable! (restricted)]
15-42 The regulatory treatment of asset securitisation: The Basel Securitisation Framework explained
by Andreas Jobst [Downloadable! (restricted)]
43-47 Coping with the FSA’s risk-based approach
by Sam Stewart [Downloadable! (restricted)]
48-59 Compliance: A review
by Jonathan Edwards & Simon Wolfe [Downloadable! (restricted)]
60-64 Doing business with the FSA
by Philip Robinson [Downloadable! (restricted)]
65-79 Benchmarking and crosschecking international banking economic and regulatory capital
by John L. Simpson & John Evans [Downloadable! (restricted)]
80-86 Best practices implementation in mutual funds
by Donald Nelson & William H. Wells & Kevin J. Perry & Donald Hanson [Downloadable! (restricted)]

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This page was last updated on 2009-11-22.

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