Journal of Financial Regulation and Compliance: Volume 14 Issue 4

Integration, regulation, and policy of securities market infrastructures in the euro area

Heiko Schmiedel, Andreas Schönenberger

The purpose of this paper is to investigate the state of integration of securities market infrastructure in Europe.

European supervisory convergence: a new dynamic

Michael McKee

To describe the 5th May 2006 ECOFIN conclusions on supervisory convergence and explain why they represent a new departure for European financial services work.

The mortality risk of pensions – methods of control and policy implications for the UK

Robert Hudson

Bodies with responsibilities for paying pensions to individuals face a mortality risk in that the pensioners may prove longer lived than expected. The significant scale and…

The corporate governance of banks

Andy Mullineux

To consider the implications of the banks fiduciary duty to their depositors (as well as the shareholders) and the government's fiscal duty to taxpayers (in the presence of…

Operational risk information system: a challenge for the banking sector

Francisco Flores, Enrique Bónson‐Ponte, Tomás Escobar‐Rodríguez

The purpose of this paper is to analyse the capacity of response of the banking sector's information systems (IS), in the light of the new requirements of Basel II (Basel Bank for…

US regulators release joint‐rule proposal regarding futures contracts on debt indexes and securities

Andrew P. Cross

The purpose of this paper is to provide professionals in the global financial services industry with a useful summary of the proposed rules set out in April 2006 by two US…

The usual suspects?

Richard Burger, George Davies

The purpose of this paper is to describe the ramifications of the UK Extradition Act of 2003 in the light of the extradition of the “Nat West Three” to the USA.

Court castigates BCCI liquidators' claim against Bank of England

Joanna Gray

The purpose of this paper is to describe how BCCI liquidators' claim against the Bank of England has been castigated.

Financial services and markets tribunal turns down costs application from broker whom it had earlier found not to have engaged in market abuse

Joanna Gray

The purpose of this paper is to describe how the Financial Services and Markets Tribunal turned down a costs application from a broker it had earlier found not to have engaged in…

Financial Services: Investigation & Enforcement (2nd ed.)

Viv Pyne

Stand up for high standards

Gavin Shreeve