Table of contents
OPEN‐ENDED INVESTMENT COMPANIES
SUSAN HODGEThe UK Government has recognised for some time that the UK fund management industry would welcome the availability of a new form of investment vehicle, namely an open‐ended…
PRICE SENSITIVE INFORMATION AND SELF‐REGULATION BY UK COMPANIES AND FINANCIAL INSTITUTIONS — PART II
JOHN HOLLANDThis paper, which is published in two parts, is concerned with ‘behind the scenes’ self‐regulation by companies and financial institutions (FIs) relative to the guidelines on…
THE GOLDEN THREADS OF COMPLIANCE
ALAN BRENERThis paper provides a guide to a number of key areas of compliance for product providers and independent financial advisers. These include ensuring high standards of recruitment…
THE PREVENTION OF MISLEADING ACCOUNTS THROUGH DISCLOSURES OF RELATED PARTY TRANSACTIONS
JULIET COTTINGHAM, ROGER HUSSEYThe published annual report and accounts of a company are regarded as a main source of information for making investment and other decisions. One assumption used by readers of…
THE INVESTMENT SERVICES AND CAPITAL ADEQUACY DIRECTIVES: FURTHER STEPS TOWARDS COMPLETION OF THE SINGLE EUROPEAN MARKET IN FINANCIAL SERVICES
MAXIMILIAN J.B. HALLDuring 1993 Member States of the European Union formally adopted two Directives—the Investment Services Directive and the Capital Adequacy Directive—concerned with the operation…
DATA GATHERING FOR IFA ORGANISATIONS: PRACTICAL GUIDANCE AND COMMENT
MARC EGERTONThis paper seeks to analyse the work of data gathering and to direct attention to some aspects of the exercise which might not be appreciated at all limes by the consultant, or…
YASUDA FIRE & MARINE INSURANCE CO OF EUROPE LTD V ORION MARINE INSURANCE UNDERWRITING AGENCY LTD AND ANOTHER
J COLMANThe Defendants, two associated companies, acted as underwriting agents for the Plaintiff under various underwriting agency agreements. The agreements were terminated and ceased to…
GOLDMAN SACHS INTERNATIONAL LIMITED V PHILIP LYONS
HOBHOUSE STUART‐SMITH, PILL LJJOn 6th February, 1987, Goldman Sachs (the plaintiffs in the action from which this appeal arose and the respondents to the appeal hereinafter referred to as the Plaintiffs…
CENTURY LIFE PLC V PENSIONS OMBUDSMAN BRITANNIA LIFE LTD V PENSIONS OMBUDSMAN
J DYSONThe appellant companies were successors to insurance companies which had arranged insurance policies securing the retirement benefits of certain occupational pension schemes…
ISSN:
1358-1988Online date, start – end:
1992Copyright Holder:
Emerald Publishing LimitedOpen Access:
hybridEditor:
- Prof John Ashton