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Journal of Financial Regulation and Compliance

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Volume 15 Issue 2

Published: 2007 | Start Page: 135

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Articles

Articles
Article No: Article Information:
1603666 The Financial Ombudsman Service: not just an alternative to court
Walter Merricks (pp. 135-142)
Keywords: Civil law, Complaints, Dispute resolutions, Ombudsman, United Kingdom
ArticleType: Viewpoint
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1603667 Internal audit function role in operational risk management
Ana Fernández-Laviada (pp. 143-155)
Keywords: Internal auditing, Risk management
ArticleType: Research paper
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1603668 A risk-based approach to AML: A controversy between financial institutions and regulators
Jos de Wit (pp. 156-165)
Keywords: Financial institutions, Money laundering, Risk management
ArticleType: Viewpoint
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1603669 Mortality projections and unisex pricing of annuities in the UK
Robert Hudson (pp. 166-179)
Keywords: Gender, Life expectancy, Pensions, United Kingdom
ArticleType: Research paper
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1603670 Prevention of corruption – UK legislation and enforcement
George Brown (pp. 180-185)
Keywords: Corruption, Laws and legislation, United Kingdom
ArticleType: Viewpoint
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1603671 Transparency proposals for European sovereign bond markets
Peter G. Dunne (pp. 186-198)
Keywords: Bonds, Europe, Financial markets
ArticleType: Research paper
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1603672 Bank deregulation and acquisition activity: the cases of the US, Italy and Germany
Jens Hagendorff, Michael Collins, Kevin Keasey (pp. 199-209)
Keywords: Acquisitions and mergers, Banks, Germany, Italy, United States of America
ArticleType: Research paper
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1603673 Implementing AML/CFT measures that address the risks and not tick boxes
Marcus Killick, David Parody (pp. 210-216)
Keywords: Financing, Money laundering, Responsibilities, Risk assessment, Senior management, Terrorism
ArticleType: Viewpoint
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1603674 Financial services and markets tribunal orders that costs of successful challenge to enforcement action for market abuse be paid by FSA
Joanna Gray (pp. 217-220)
Keywords: Legal decisions, Litigation, Tribunals
ArticleType: Research paper
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1603675 The discovery process in civil litigation and the restrictions on disclosure of Section 348 Financial Services and Markets Act 2000
Joanna Gray (pp. 221-226)
Keywords: Legal decisions, Litigation, Tribunals
ArticleType: Research paper
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Editorial

Regulation of the alternative investment market (AIM) - a tale of potential woe?
Item No: Item Information
1603676 Regulation of the alternative investment market (AIM) - a tale of potential woe?
Journal: Journal of Financial Regulation and Compliance
Vol : 15 Issue: 2
Author(s): Kevin Keasey
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