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

Volume 12 Issue 2

Published: 2004 | Start Page: 106

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Articles

Articles
Article No: Article Information:
1523818 Does regulation make it worse?
David Jackman (pp. 106-110)
Keywords: Business ethics, Corporate governance, Ethical codes, Ethics Foundation, FSA, FSMA 2000, Regulation
ArticleType: Viewpoint
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1523819 Collective action with respect to bonds issued under German law
Hendrik Haag, Daniel Weiß (pp. 111-117)
Keywords: Bondholder meetings, Collective action clauses, Noteholders’ meetings, Waivers of bond terms, Waivers of note terms
ArticleType: General review
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1523820 Constraints on discretion: Distributing surplus in with-profits life insurance
Chris O’Brien (pp. 118-127)
Keywords: Actuarial profession, Bonuses, Equitable life, Financial Services Authority, Life insurance
ArticleType: Viewpoint
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1523821 Duties of insurance brokers
John Virgo, Philip Ryley (pp. 128-131)
Keywords: Arranging insurance cover, Insurance brokers, Insurance brokers’ duties, Notifying insurance claims
ArticleType: General review
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1523822 Predictable pricing errors and fair value pricing of US-based international mutual funds
Timothy E. Jares, Angeline M. Lavin (pp. 132-150)
Keywords: Exchange-traded funds, Fair value pricing, Mutual funds
ArticleType: General review
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1523823 Unification in financial sector supervision: The trade-off between central bank and single authority
Donato Masciandaro (pp. 151-169)
Keywords: Centra banks, Financial supervision, Institutions and law, Single financial authorities
ArticleType: General review
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1523824 Mutual fund market timing: A tale of systemic abuse and executive malfeasance
James B. McCallum (pp. 170-177)
Keywords: Enterprise risk management, Hedge funds, Mutual fund market timing, NAV forward pricing, Regulatory compliance, Reputational risk
ArticleType: Case study
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