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Journal of Financial Regulation and Compliance
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Journal of Financial Regulation and Compliance

Volume 12 Issue 1

Published: 2004 | Start Page: 9

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Articles

Articles
Article No: Article Information:
1523811 Not another damned exam!?!
David Bland (pp. 9-13)
Keywords: Competence, FSA, Operational risk, Orphan funds, Qualifications, Sandler products, Stakeholder myth
ArticleType: General review
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1523812 Developments in FSA enforcement law: From N2 to the arrival of Callum McCarthy
Graham O’Connell (pp. 15-21)
Keywords: Confidential information, Due process, Judicial review, Lloyds TSB, Publicity, Regulatory Decisions Committee, Tribunal
ArticleType: General review
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1523813 Basel II: Vintage 2003
Andrew Cornford (pp. 22-35)
Keywords: Bank capital, Basel Committee on Banking Supervision, Credit risk, Internal controls, Risk weights, Supervisory review, Transparency
ArticleType: Viewpoint
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1523814 Integration of EU financial markets supervision: Harmonisation or unification?
Andreas Grünbichler, Patrick Darlap (pp. 36-44)
Keywords: EU financial markets, Financial stability, Regulation, Supervision
ArticleType: Viewpoint
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1523815 Taxation and corporate strategy in the single market
Travis Barker (pp. 45-50)
Keywords: Asset management/UCITS, European Court of Justice, European Union, Taxation/Tax discrimination
ArticleType: Viewpoint
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1523816 Has the Security and Exchange Commission’s Rule 421 made mutual fund prospectuses more accessible?
Don T. Johnson (pp. 51-63)
Keywords: Mutual fund prospectus, Plain English, Readability, Rule 421, Security and Exchange Commission
ArticleType: General review
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1523817 Microfinance regulation influence on small firms’ financing in Tanzania
Tadeo Andrew Satta (pp. 64-74)
Keywords: Economic development, Financial sector, Microfinance regulation, Small firms, Tanzania
ArticleType: General review
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