Journal of Financial Regulation and Compliance: Volume 4 Issue 1

Subject:

Table of contents

ECONOMIC CRIME: BEYOND GOOD AND EVIL

IAN O. ANGELL

This polemical essay is an extended and more coherent version (what he would like to have said, rather than what he actually said) of the intervention made by the author at the…

REGULATING DERIVATIVES: OPERATOR ERROR OR SYSTEM FAILURE?

ATUL K. SHAH

In the wake of substantial losses suffered by derivatives dealers and end users in recent years, questions are being raised about the type of regulatory structure needed to…

HOW THE INVESTMENT SERVICES DIRECTIVE (ISD) IS BEING IMPLEMENTED IN THE NETHERLANDS AND WHAT IS EXPECTED

PETER BOUMA

This paper gives information and clarification of the situation in the Netherlands concerning the implementation of the ISD, it also touches upon the Capital Adequacy Directive…

COMPLIANCE CULTURE

DAN JENKINSON

There is much talk of ‘compliance culture’ and, latterly, ‘compliance ethos’ and it is generally assumed that this is a good thing, by definition. This paper suggests that the…

US CONSIDERATIONS RESPECTING FINANCIAL INSTITUTION INSOLVENCY

ROBERT J. ROSENBERG, MARLA S. BECKER

This paper first generally discusses United States bank liquidations under the Financial Institutions Reform, Recovery and Enforcement Act of 1989 (FIRREA), and addresses the…

THE INTERNATIONAL EFFECT OF MONEY LAUNDERING LAWS

NIGEL MORRIS‐COTTERILL

Money laundering is the only way of getting the proceeds of criminal activity into the economy. Without it the criminal cannot profit from his endeavour. So, governments worldwide…

1175

THE CADBURY CODE ‘COMPLIANCE REPORT’

ALICE BELCHER

This paper critically reviews the contents of the ‘Compliance Report’ published by the Cadbury Committee in May 1995. The Compliance Report could be seen as a rather…

MERIDIAN GLOBAL FUNDS MANAGEMENT ASIA LTD V SECURITIES COMMISSION

Keith of Kinkel, Jauncey of Tullichettle, Mustill, Lloyd of Berwick, Hoffmann, Joanna Gray

This case concerned an attempt by predators based in New Zealand, Malaysia and Hong Kong to gain control of, and strip assets and cash from, a publicly listed New Zealand company…

REGINA V SECURITIES AND INVESTMENTS BOARD AND ANOTHER EX PARTE INDEPENDENT FINANCIAL ADVISERS ASSOCIATION AND LIBM LTD

STAUGHTON LJ, J MITCHELL, Joanna Gray

The origins of this litigation lay in the over‐selling of personal pensions that took place after April 1988. On 25th October, 1994, the Securities and Investments Board (SIB…

ALPINE INVESTMENTS BV V MINISTER VAN FINANCIEN: EUROPEAN COURT OF JUSTICE LUXEMBOURG

Joanna Gray

The applicant, Alpine Investments BV, was a company incorporated and established in the Netherlands specialising in commodities futures business. Its business concerned…

BOOK REVIEWS

Joanna Gray

These two books, while very different, are both scholarly and thought provoking works. Although they are not specialist works on Financial regulation and compliance they should…

Cover of Journal of Financial Regulation and Compliance

ISSN:

1358-1988

Online date, start – end:

1992

Copyright Holder:

Emerald Publishing Limited

Open Access:

hybrid

Editor:

  • Prof John Ashton