Table of contents
Not another damned exam!?!
David BlandThis piece critically reviews the potential impact of the FSA’s application of its ‘OperationalRisk’ approach to regulation. It uses the Treasury proposals for ‘Sandler’ products…
Developments in FSA enforcement law: From N2 to the arrival of Callum McCarthy
Graham O’ConnellThis paper reviews the major developments in law and policy arising from cases involving the FSA Enforcement Division in the two years after N2. It considers how the FSA has…
Basel II: Vintage 2003
Andrew CornfordThis paper is a commentary on the third in the series of consultative papers (CP3) on a NewBasel Capital Accord for banks, earlier papers being issued in 1999 and 2001. While CP3…
Integration of EU financial markets supervision: Harmonisation or unification?
Andreas Grünbichler, Patrick DarlapThe paper highlights what are currently the most relevant aspects in the debate surrounding the possible reform in the institutional setup of financial markets regulation and…
Taxation and corporate strategy in the single market
Travis BarkerIn order to realise economies of scale in the European single market for investment funds, asset managers have typically sought to distribute a single range of investment funds…
Has the Security and Exchange Commission’s Rule 421 made mutual fund prospectuses more accessible?
Don T. JohnsonA mutual fund must provide prospectuses to each potential investor before the fund may accept monies from that individual. The prospectuses are a major source of information about…
Microfinance regulation influence on small firms’ financing in Tanzania
Tadeo Andrew SattaSmall firms in developing countries continue to experience difficulties in accessing finance from formal financial institutions. This paper argues that regulating microfinance…
ISSN:
1358-1988Online date, start – end:
1992Copyright Holder:
Emerald Publishing LimitedOpen Access:
hybridEditor:
- Prof John Ashton