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

Volume 13 Issue 1

Published: 2005 | Start Page: 10

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Articles

Articles
Article No: Article Information:
1523839 Supporting a risk-based anti-money laundering approach through enforcement action
Andrew Proctor (pp. 10-14)
Keywords: Enforcement, Financial Services Authority, Money laundering
ArticleType: General review
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1523840 The regulatory treatment of asset securitisation: The Basel Securitisation Framework explained
Andreas Jobst (pp. 15-42)
Keywords: Asset securitisation, Banking regulation, Basel 2, Basel committee, Regulatory capital requirements, Supervisory formula
ArticleType: General review
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1523841 Coping with the FSA’s risk-based approach
Sam Stewart (pp. 43-47)
Keywords: Basel, FSA, FSMA 2000, Principles for good regulation, Risk mitigation programme, Risk-based regulation
ArticleType: Viewpoint
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1523842 Compliance: A review
Jonathan Edwards, Simon Wolfe (pp. 48-59)
Keywords: Competence, Compliance, Conduct of business, FSA, Investment business
ArticleType: General review
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1523843 Doing business with the FSA
Philip Robinson (pp. 60-64)
Keywords: FSA, Improving standards, Investment priority, Organisational structure, Reducing consultation, Rule waiver/modification, Transparency of performance
ArticleType: Viewpoint
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1523844 Benchmarking and crosschecking international banking economic and regulatory capital
John L. Simpson, John Evans (pp. 65-79)
Keywords: Country-banking system, Economic capital, Interdependence, Performance indicator, Regulatory capital, Systematic risk, Systemic risk
ArticleType: General review
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1523845 Best practices implementation in mutual funds
Donald Nelson, William H. Wells, Kevin J. Perry, Donald Hanson (pp. 80-86)
Keywords: Best practices, Corporate governance, Mutual funds
ArticleType: General review
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