Journal of Financial Regulation and Compliance: Volume 14 Issue 2

A compliance competence partnership approach model

Compliance competence 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…

On the inception of sound derivative products in emerging markets: Real‐world observations and viable solutions

Since, the early 1990s, emerging markets have started to play an important role in the trading of derivatives products. Despite the fact that these markets are characterized in…

A review of financial and regulatory reforms in the gilt‐edged market

Aims to examine and evaluate the financial and regulatory reforms in the gilt‐edged market.

The relevance of value‐at‐risk disclosures: evidence from the LTCM crisis

Previous studies have established that the failure of the hedge fund, long‐term capital management (LTCM), was associated with significant negative abnormal returns for many US…

The impact of the 2004 research analyst rules on hedge fund research reports

Hedge fund marketers frequently distribute written commentary for investors to use in research. Since, these reports are subject to new regulations of the SEC (March 2004)…

The effect of the SEC's regulation fair disclosure on analyst forecast attributes

This study aims to examine the effect of the Securities and Exchange Commission's regulation fair disclosure (Reg. FD) on analyst forecast performance for pre‐Reg. FD closed‐call…

Court of Appeal rules on solicitor's liability to make redress to investors

To report on the appeal by the defendants – a firm of sollcitors – against the proceedings taken by the Financial Services Authority.

Question of legal nature of betting scheme under FSMA 2000 considered by Court of Appeal

To provide a summary of the action against Top Bet Placement Services, involving a betting scheme that infringed FSMA 2000.

Other People's Money the Revolution in High Street Banking

Better regulation or deregulation?