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Content
March 1997, Volume 5, Issue 3
- 215-221 The regulation of financial conglomerates
by Gareth Adams - 222-235 New developments for non‐US investment advisers doing business in the USA
by Marybeth Sorady - 236-242 Deregulation: The impact on a compliance officer — PIA interactions
by Wyn Thomas - 243-248 The deregulation of foreign exchange control in Japan
by Hiroaki Shinoda - 249-259 Closing the loopholes in US regulation S for offshore offers and sales of securities
by Dana L. Platt & Mark J. McKeefry - 260-264 Duties of unit trust trustees
by Stephen Lofthouse - 267-270 R v PIA ombudsman & PIAex parteBurns‐Anderson Independent Network plc
by McCowan LJ & Millett LJ & Auld LJ & Joanna Gray - 270-272 ICIC (Overseas) Ltd v Adham & Others
by J Harman & Joanna Gray - 272-275 Armitage v Nurse & Others
by Hirst LJ & Millett LJ & Hutchison LJ & Joanna Gray
February 1997, Volume 5, Issue 2
- 107-114 Comments on the European Commission Green Paper — ‘Financial services: Meeting consumers' expectations’
by Marc Dassesse - 115-117 Labour's proposals for regulation into the 21st century
by Mike O'Brien - 118-124 Open‐ended investment companies
by Paula Diggle - 125-135 Comparison of interim reporting regimes between a mature and an emerging market
by Hannu J. Schadewitz & Dallas R. Blevins - 136-138 Training and competence — the compliance officer's perspective
by Diana Miller - 139-145 The Insurance Ombudsman and payment protection insurance
by Peter Hart - 146-153 Identification and verification under the money laundering regulations: Problems with compliance
by Richard Stones - 154-162 EU directives and their impact on netting
by Paolo Clarotti - 165-168 Barings plc and another v Coopers & Lybrand and others
by Leggatt LJ & Swinton Thomas LJ & Mummery LJ & Joanna Gray - 169-172 Human rights and the investigation of fraud Saunders v United Kingdom
by Joanna Gray - 173-177 R v Institute of Chartered Accountants of England and Wales, ex parte X
by J Sedley & Joanna Gray - 178-180 R v Investors Compensation Scheme Ltd ex parte Gerald Taylor
by Staughton LJ & J Tucker & Joanna Gray
January 1997, Volume 5, Issue 1
- 16-22 Cost‐benefit analysis and compliance culture
by Isaac Alfon - 23-28 Inventory‐based stock market transparency rules
by John Board & Charles Sutcliffe - 29-36 Proposal for a Directive on systemic risk in payment systems
by Marc Vereecken - 37-48 Analysing systemic risk in banking and financial markets
by Atul K. Shah - 49-58 Redrawing the regulatory map: A proposal for reform
by Michael Taylor - 59-61 Standards and qualities expected of compliance staff
by Gordon McMurray - 65-65 Legal update
by Joanna Gray - 66-69 Regulatory update
by Joanna Gray - 70-72 Banking regulation and the tort of misfeasance in public office: The difficulties in suing regulators Three Rivers District Council and others (1) Bank of Credit and Commerce International SA (in liquidation) (2) v Bank of England
by Joanna Gray - 73-77 Ignorance of the law is no excuse for company directors Attorney General's Reference No. 1 of 1995
by Joanna Gray - 78-80 Assignment of individual investors' claims to the Investors Compensation Scheme declared invalid (1) Investors Compensation Scheme Ltd v West Bromwich Building Society; (2) Same v Hopkin & Sons; (3) Alford & Ors v West Bromwich Building Society; (4) Armitage v West Bromwich Building Society
by Joanna Gray - 81-82 SIB unsuccessful in challenge to judicial review of its investigation of Interdata (UK) Ltd R v SIB ex parte Interdata (UK) Ltd
by Joanna Gray - 83-87 Defining dishonesty: A culture clash of law and business Royal Brunei Airlines SDN BHD v Tan
by Joanna Gray - 88-91 ‘Obtaining property by deception’, mortgage fraud and funds transfer
by Joanna Gray - 92-93 Disciplinary Action
by Joanna Gray
April 1996, Volume 4, Issue 4
- 324-338 Regulation And Insolvent Banks
by Andrew Wilkinson & Dermot Turing - 339-348 Structuring Pooled Funds To Include Us Institutional Investors
by Geoffrey R.T. Kenyon & Peter Marshall - 349-356 State Aid And Banking Activities: The Impact Of European Community Law
by Marc Dassesse - 357-363 Us Cftc Issues Advisory Applicable To Cpos Of Offshore Commodity Pools
by M. Holland West & Diane M. Dickensheid - 364-370 The Disclosure Regime For Unit Trusts And Other Non‐Life Products
by Colin Hawtin - 371-385 The Dynamics Of International Bank Regulation
by Atul K. Shah - 386-394 The Broker‐Dealer Examination Programme Of The Sec
by Mary Ann Gadziala
March 1996, Volume 4, Issue 3
- 215-226 The Future Of Compliance In Retail Financial Services
by Robert Hudson & Kevin Keasey & Kevin Littler - 227-238 Contractual Netting In France: Comparison Of Afb And Isda Terms
by Serge Durox - 239-254 Speculations On The Conflict Of Discourses: Finance, Crime And Regulation
by Christopher Stanley - 255-277 The Collapse Of Barings: The Lessons To Be Learnt
by Maximilian J.B. Hall - 278-291 Why Capital Adequacy Regulation For Banks?
by Atul K. Shah - 292-300 Key Differences In Regulatory Approaches: What Do They Mean In Practice?
by John Tattersall
February 1996, Volume 4, Issue 2
- 125-133 The Alternative Investment Market: The Regulatory Issues
by Tim Steadman - 134-143 Market Risk, Corporate Governance And The Regulation Of Financial Firms
by Peter Casson - 144-149 Trading And Market Making Surveillance Programme For The Nasdaq Stock Market
by John E. Jr. Pinto - 150-156 European Investment Funds: The Ucits Directive Of 1985 And The Objectives Of The Proposal For A Ucits Ii Directive
by Daniele Ciani - 157-169 The Changing Nature Of Financial Regulation In Ireland
by Jim Stewart - 170-177 THE IMPORTANCE OF CHOICE OF LAW AND FINALITY TO PvP, NETTING AND COLLATERAL ARRANGEMENTS
by Randall Guynn & Margaret Tahyar - 179-184 Currency Brokers And The Duty Of Care
by MR J.P. WADSWORTH QC & Joanna Gray - 185-193 Cocking V Prudential Assurance Company Ltd Mackrell V Gan Life & Pensions Plc Silavant V Gan Life & Pensions Plc Szilayaga V Tsb Pensions Ltd And Tsb Life Ltd Parker V Hill Samuel Life Assurance Ltd Greenwood V Irish Life Assurance Plc And Mill‐Smith Insurance Brokers Ltd
by Honour Judge Raymond Jack QC Presiding & Joanna Gray - 196-198 Book Reviews
by Joanna Gray - 199-200 Advance Fee And Prime Bank Instrument Frauds
by Rowan Bosworth‐Davies
January 1996, Volume 4, Issue 1
- 9-14 Economic Crime: Beyond Good And Evil
by Ian O. Angell - 17-35 Regulating Derivatives: Operator Error Or System Failure?
by Atul K. Shah - 36-40 How The Investment Services Directive (Isd) Is Being Implemented In The Netherlands And What Is Expected
by Peter Bouma - 41-46 Compliance Culture
by Dan Jenkinson - 47-66 Us Considerations Respecting Financial Institution Insolvency
by Robert J. Rosenberg & Marla S. Becker - 67-81 The International Effect Of Money Laundering Laws
by Nigel Morris‐Cotterill - 82-89 The Cadbury Code ‘Compliance Report’
by Alice Belcher - 93-97 Meridian Global Funds Management Asia Ltd V Securities Commission
by Keith of Kinkel & Jauncey of Tullichettle & Mustill & Lloyd of Berwick & Hoffmann & Joanna Gray - 98-103 Regina V Securities And Investments Board And Another Ex Parte Independent Financial Advisers Association And Libm Ltd
by STAUGHTON LJ & J MITCHELL & Joanna Gray - 104-109 Alpine Investments Bv V Minister Van Financien
by Joanna Gray - 110-112 Book Reviews
by Joanna Gray
April 1995, Volume 3, Issue 4
- 321-328 Open‐Ended Investment Companies
by Susan Hodge - 329-343 Price Sensitive Information And Self‐Regulation By Uk Companies And Financial Institutions — Part Ii
by John Holland - 344-349 The Golden Threads Of Compliance
by Alan Brener - 350-357 The Prevention Of Misleading Accounts Through Disclosures Of Related Party Transactions
by Juliet Cottingham & Roger Hussey - 358-382 The Investment Services And Capital Adequacy Directives: Further Steps Towards Completion Of The Single European Market In Financial Services
by Maximilian J.B. Hall - 383-388 Data Gathering For Ifa Organisations: Practical Guidance And Comment
by Marc Egerton - 391-398 Yasuda Fire & Marine Insurance Co Of Europe Ltd V Orion Marine Insurance Underwriting Agency Ltd And Another
by J Colman - 399-404 Goldman Sachs International Limited V Philip Lyons
by Hobhouse Stuart‐Smith & Pill Ljj - 405-408 Century Life Plc V Pensions Ombudsman Britannia Life Ltd V Pensions Ombudsman
by J Dyson
March 1995, Volume 3, Issue 3
- 211-221 The Barings Crisis: Some Lessons For The Management Of Trading Risks In Financial Intermediaries
by Michael Taylor - 222-227 Compliance And Internal Audit
by Peter Milroy Ma Fca - 228-249 Price Sensitive Information And Self‐Regulation By Uk Companies And Financial Institutions — Part I
by John Holland - 250-258 Pension Transfers: Managing Compliance
by John Cunliffe & Steve Mingle - 259-274 Understanding The Impact Of The Investment Services And Capital Adequacy Directives
by Beryl Mustill - 275-279 Analysing The New Powers Given To Building Societies
by Steve Crowther - 283-289 Kaufmann And Others V Credit Lyonnais Bank
by MRS JUSTICE ARDEN & Joanna Gray - 290-293 New Zealand Guardian Trust Co Ltd V Kenneth Stewart Brooks And Others
by LORD Keith of KINKEL & LORD OLIVER OF AYLMERTON & LORD MUSTILL & LORD LLOYD OF BERWICK & LORD NICHOLLS OF BIRKENHEAD - 294-299 Melton Medes Ltd And Another V Securities And Investments Board
by J LIGHTMAN & Joanna Gray
February 1995, Volume 3, Issue 2
- 123-125 What Is Compliance? The Moral Dimension
by Michael Clarke - 129-134 Formalism Or Anti‐Formalism: Regulation And The Bank Of England
by Ian Robinson & Roger Hussey - 135-140 Internal Compliance Vetting
by John Hamp - 141-146 The Practical Compliance Officer: Technicality Versus Commerciality
by Gordon Mcmurray - 147-152 Financial Services: Drafting Private Client Agreements
by Joanna Gray - 153-175 The Capital Adequacy Regulation Of Us Broker‐Dealers: A Comparative Analysis — Part 2
by Richard Dale - 179-184 Bishopsgate Investment Management Ltd (In Liquidation) V Homan And Others
by DILLON & LEGGATT & HENRY LJJ & Joanna Gray - 185-190 Morgan Grenfell & Co Ltd V Welwyn Hatfield District Council (Islington London Borough Council, Third Party)
by J Hobhouse - 191-199 Grant Adams V The Queen
by LORD TEMPLEMAN & LORD JAUNCEY OF TULICHETTLE & LORD BROWNE‐WILKINSON & LORD WOOLF & LORD LLOYD OF BERWICK & Joanna Gray
January 1995, Volume 3, Issue 1
- 11-27 The Capital Adequacy Regulation Of Us Broker‐Dealers: A Comparative Analysis — Part 1
by Richard Dale - 28-35 A Critical Evaluation Of The Compliance Administrative Control System Within Albert E Sharp And Its Motivational Impact Upon Those It Is Supposed To Control
by Gary Hagland - 36-42 How Will The Money Laundering Regulations Work?
by Michael Clarke - 43-54 Consumer Protection In Retail Investment Services: Protection Against What?
by David T. Llewellyn - 55-61 Civil Disclosure And Freezing Orders: Impact Of Us Extraterritoriality Provisions
by Rowan Bosworth‐Davies - 62-69 Manipulations And Stock Exchange Transactions: The Application Of The German Criminal Code And Insider Dealing Provisions
by Hans‐Günther Nordhues - 70-81 The Impact Of Globalisation On Today'S Business, And Why Information System Security Is Strategic
by Ian O. Angell - 85-91 REGINA v INVESTORS COMPENSATION BOARD EX PARTE BOWDEN & ANOTHER
by Balcombe & Rose LJJ & J Hutchison - 92-95 (1) WESTDEUTSCHE LANDESBANK GIROZENTRALE v ISLINGTON LONDON BOROUGH COUNCIL
by Dillon LJ & Leggatt LJ & Kennedy LJ - 96-102 DEPOSIT PROTECTION BOARD v BARCLAYS BANK PLC
by Keith & Goff & Browne‐Wilkinson & Mustill & Lloyd
April 1994, Volume 2, Issue 4
- 269-277 Money Laundering Regulations In The Personal Equity Plan Industry
by Sheila Gates - 278-285 What Is Compliance?
by Gareth Adams - 286-313 The Pia: Stop‐Gap Or Lasting Solution?
by Maximilian J.B. Hall - 314-322 Developments In Ec And International Capital Adequacy Regulations
by Matthew Elderfield - 323-330 Central European Economies And The Finances Of International Organised Crime
by Nicholas Ridley - 331-339 City Disputes Panel: Specialist Arbitration For The Financial Services Industry
by Anne Crossfield - 340-349 Financial Deregulation And Economicanomie
by Christopher Stanley - 350-355 Data Protection: The First Decade
by John Lamidey
March 1994, Volume 2, Issue 3
- 195-200 The Banking Ombudsman Scheme
by Catherine Clarke - 201-210 Pension Transfers: An Overview
by Simon Morris - 211-214 Pension Transfers And Opt‐Outs: Guidelines On How To Get Started In Putting Matters Right
by Alan Brener - 215-219 Implementing Compliance And Regulation Training
by Iain Mcleod - 220-226 The Insurance Ombudsman Bureau And Financial Services Disputes — An Obituary?
by Neil Munro - 227-233 The Money Laundering Regulations 1993: Their Implementation And Implications For Securities Houses
by Gary Hagland - 234-238 Preparing For A Fimbra Inspection
by E. John Hamp - 239-247 Recent Developments In Imro'S Enforcement Activities
by Daniel F. Waters - 248-256 The Regulation Of Trade In Financial Services
by Peter A. Vipond
February 1994, Volume 2, Issue 2
- 107-111 Government And The Financial Services Industry
by Alistair Darling - 112-116 The Impact Of The Goode Committee Report On Small Pension Schemes
by Stewart Ritchie - 119-124 Testing, Measurement And Evaluation Techniques In The Training Of Financial Services Sales Forces
by David Wicks - 125-132 Audit Regulation In The Uk: Some Preliminary Observations
by Stella Fearnley & Michael Page - 133-149 Five Ways Out Of Tax: An Analysis Of Avoidance Devices
by Graham Mansfield - 150-154 Future Role Of The Finance Director
by Roger Trapp - 155-159 Setting The Right Compliance Culture
by Peter Milroy Ma Fca - 160-164 Data Protection And The Use Of Personal Data By Financial Institutions
by John Lamidey Mbe - 165-183 International Harmonisation Of Securities Law: Australia'S Response
by Peter Willis
March 1993, Volume 2, Issue 1
- 11-21 Effective Compliance V Regulatory Gestation
by GARY HAGLAND AMSI MIMgt - 22-30 The Accountants' Joint Disciplinary Scheme
by Michael S. Chance - 31-41 The Sec: An Examination Of Its Structure, Powers And Procedures
by Rowan Bosworth‐Davies - 42-47 Ensuring Sales Forces Provide Best Advice
by David Nicholls - 48-58 An Approach To The Internal Regulation Of The Corporation: A Critical Analysis Of The Recommendations Of The Cadbury Committee
by Christopher Stanley - 59-73 Regulators And Ombudsmen: Access And Visibility
by Philip Giddings - 77-82 Comment: The Goode Report
by Debbie Harrison - 85-92 Ec Regulation Of Undertakings For Collective Investment In Transferable Securities (Ucits)
by Justin Rushbrooke
February 1993, Volume 1, Issue 4
- 335-346 The Right Of Reply To Transfrontier Television Broadcasts: A Two‐Speed Europe
by Vincent Porter & Martin Gabriel - 347-354 Financial Regulation Five Years On: The Investigative Powers Of The Sros
by DESMOND HIGH & Nalin Shah - 355-363 The Need For A Regulatory Charter
by Cento Veljanovski - 364-369 Sros: A Compliance Officer'S Perspective
by Samantha Linsley - 370-375 International Investment Management Within A Regulatory Framework
by Alan Thomas - 376-384 The Role Of The Compliance Officer: The Influence Of Culture And Company Constitution
by M. Cruickshanks - 385-394 A Duty To Protect From Violent Behaviour: The Health And Safety At Work Act 1974 And Hospital Security
by Kenneth Rogers - 395-402 Generating Competition In The Electricity Industry
by Mark Halliley - 403-407 Negligence Law Suits And The Accountant
by Roger Trapp
January 1993, Volume 1, Issue 3
- 239-244 United States Bank Failure Policy
by Helen A. Garten - 245-254 Corporate Manslaughter Reviewed
by Nicholas Reville - 255-261 National Waste Policies In Europe And Their Effect On The United Kingdom Paper And Board Industry
by Ian Cooper - 262-269 The Insurance Ombudsman Bureau And The Public: Great Expectations
by Caroline Mitchell - 270-276 Future Concerns In The Regulation Of Private Security
by Les Johnston - 278-291 Pensions Law Reform After Maxwell: The Possible Content Of New Pensions Regulations Following The Maxwell Case
by Robin Ellison - 292-297 The Lautro Rules: Training And Competence
by Stuart Willey - 298-313 Bcci: The Lessons For Bank Supervisors Part 2: Deficiencies In International Supervisory Arrangements
by Maximilian J.B. Hall - 314-316 Chinese Walls: A Device Not A Solution
by Lynn Counsell
February 1992, Volume 1, Issue 2
- 140-144 The Philosophy And Rationale Of The Freedom And Responsibility Of The Press Bill
by Clive Soley - 147-154 A Case Against Privacy Legislation From The Perspective Of The Regional Press
by Keith Parker - 155-162 The Structure Of Controls On The Invasion Of Privacy By The Press
by Alex Carlisle Qc - 163-169 Competition And The Regulation Of Auditor Independence In The Ec
by Derek Ridyard & Jean De Bolle - 170-184 Bcci: The Lessons For Bank Supervisors Part 1: Deficiencies In National Supervisory Practices And Regulatory Frameworks
by Maximilian J.B. Hall - 185-192 Regulating The Liberalised Telecommunications Sector
by Colin Scott - 193-199 Advocates' Immunity From Negligence Action
by Keith Richards - 200-204 Towards A Policy On Fines And Discipline: The Disciplining Record Of Imro And The Sfa
by Gareth Adams - 205-214 The Impact Of The Coshh Regulations On The Working Environment
by Colin Purnell - 215-219 What Is Investment Business?
by Dennis Rosenthal
January 1992, Volume 1, Issue 1
- 11-17 The Single Market In Europe: An Examination Of The Arrangements For Policing Financial Services
by Michael Chance - 18-28 The Work Of The Ombudsman
by Simon Denison - 29-33 New Guidelines From The German Bundesbank On The Issue Of Dm‐Denominated Bonds
by Daniela Weber‐Rey - 34-46 Practical Training For Compliance Officers: An Assessment
by Rowan Bosworth‐Davies - 47-55 The New Settlement Under The Financial Services Act 1986
by Pauline Ashall - 56-62 Competition And The Protection Of Customers In The Water And Sewerage Industries — A Citizens' Charter?
by Allan Merry - 63-71 Historical Touchstones In The Regulation Of The Financial Services Sector: The Evolution Of Financial Services Regulation
by George Gilligan - 72-81 Futures And Options: Regulatory And Derivative Issues
by Iain Cullen - 82-92 Regulatory Operation And Management: The Functions Of The Proposed Environment Agency
by William Howarth - 93-98 The Regulatory Role Of The Independent Television Commission
by Michael Redley - 99-102 Regulation Of Us Derivatives And Title V Of The Futures Trading Practices Act Of 1992
by Thomas A. Russo & Marlisa Vinciguerra - 103-109 The Statutory Committee Of The Royal Pharmaceutical Society Of Great Britain — The Function Of A Disciplinary Body In Maintenance Of Professional Standards
by Susan Sharpe - 113-115 Judicial Review And The Sacred Cow Of Self‐Regulation
by Jonathan Middleburgh - 116-119 The Privilege Against Self‐Incrimination
by Murray Rosen - 120-121 Compliance Briefing
by Matthew Weaitt