Table of contents
THE BANKING OMBUDSMAN SCHEME
CATHERINE CLARKEThis paper examines the role of the Banking Ombudsman in dealing with complaints about banking services. It describes the procedures for investigating eligible complaints and…
PENSION TRANSFERS: AN OVERVIEW
SIMON MORRISThe issue of pension transfers, which has leapt into prominence in recent months, raises complex and novel issues, albeit in relation to alleged breaches of long established…
PENSION TRANSFERS AND OPT‐OUTS: GUIDELINES ON HOW TO GET STARTED IN PUTTING MATTERS RIGHT
ALAN BRENERThe Securities and Investments Board (SIB) issued a paper addressed to self‐regulating organisations in May 1994 titled ‘Past Pension Transfers and Opt‐Outs: Model Guidance on…
IMPLEMENTING COMPLIANCE AND REGULATION TRAINING
IAIN MCLEODThe paper outlines some examples of how firms are responding to the challenge of presenting regulation and compliance as positive and worthwhile business issues.
THE INSURANCE OMBUDSMAN BUREAU AND FINANCIAL SERVICES DISPUTES — AN OBITUARY?
NEIL MUNROThis paper examines what the financial services industry expects from the Insurance Ombudsman Bureau. It measures the IOB's success in meeting these expectations against the…
THE MONEY LAUNDERING REGULATIONS 1993: THEIR IMPLEMENTATION AND IMPLICATIONS FOR SECURITIES HOUSES
GARY HAGLANDThe international banking and financial system is finding itself in the front line of the war being waged internationally against the money launderers. Traditional concepts of…
PREPARING FOR A FIMBRA INSPECTION
E. JOHN HAMPThe purpose of this paper is to give readers an overview of a routine Financial Intermediaries, Managers and Brokers Regulatory Association (FIMBRA) compliance visit and to…
RECENT DEVELOPMENTS IN IMRO'S ENFORCEMENT ACTIVITIES
DANIEL F. WATERSIn March 1994 the Investment Management Regulatory Organisation (IMRO)1 published its Regulatory Plan for 1994/ 95. The Plan followed six months of intensive internal review at…
THE REGULATION OF TRADE IN FINANCIAL SERVICES
PETER A. VIPONDAlthough much of the debate about financial regulation tends to be focused at product, firm or market level, international trade agreements are of growing importance. This paper…
ISSN:
1358-1988Online date, start – end:
1992Copyright Holder:
Emerald Publishing LimitedOpen Access:
hybridEditor:
- Prof John Ashton