Journal of Financial Regulation and Compliance: Volume 13 Issue 1

Supporting a risk‐based anti‐money laundering approach through enforcement action

Andrew Proctor

This paper sets out how the FSA intends to use enforcement tools to support its financial crime strategy and reduce the risk that regulated firms are used to further money…

The regulatory treatment of asset securitisation: The Basel Securitisation Framework explained

Andreas Jobst

This paper provides a comprehensive overview of the gradual evolution of the supervisory policy adopted by the Basel Committee for the regulatory treatment of asset…

Coping with the FSA’s risk‐based approach

Sam Stewart

What does the Financial Services Authority (FSA) mean by risk‐based regulation and why have it? If the regulator adopts such an approach, how should the firms it regulates react…

Compliance: A review

Jonathan Edwards, Simon Wolfe

Compliance is key to the operation and reputation of the financial services sector and is now completely embedded in the way financial services organisations carry on investment…

Doing business with the FSA

Philip Robinson

Recently the FSA made a commitment, in one of its four big investment priorities, to improve its business capability and effectiveness. A substantial part of that priority was to…

Benchmarking and crosschecking international banking economic and regulatory capital

John L. Simpson, John Evans

The purpose of this paper is to provide banking regulators with another tool to crosscheck the appropriateness and consistency of levels of capital adequacy for banks. The process…

Best practices implementation in mutual funds

Donald Nelson, William H. Wells, Kevin J. Perry, Donald Hanson

This paper examines the implementation of best practices for fund directors as outlined by the Investment Company Institute (ICI) in the summer of 1999. Following a series of well…