Table of contents
The Financial Ombudsman Service: not just an alternative to court
Walter MerricksThe Financial Ombudsman Service is a statutory body offering a dispute resolution service to consumers and firms. The purpose of this paper is to outline the service as an…
Internal audit function role in operational risk management
Ana Fernández‐LaviadaThe objective of this paper is to provide a global perspective of the operational risk (OR) management framework from an internal audit viewpoint.
A risk‐based approach to AML: A controversy between financial institutions and regulators
Jos de WitThe purpose of this paper is to present a risk‐based approach to anti‐money laundering (AML) systems.
Mortality projections and unisex pricing of annuities in the UK
Robert HudsonIn the UK, there is a strong government commitment to the compulsory use of annuities to manage the “decumulation” of assets in defined contribution pension schemes. Almost all…
Prevention of corruption – UK legislation and enforcement
George BrownThe aim of the paper is to document the controls that presently exist in relation to domestic corruption, the need for reform of the law, in relation to both domestic and…
Transparency proposals for European sovereign bond markets
Peter G. DunneThe debate over the possible extension of transparency regulation in Europe to include sovereign bonds has opened up a number of other issues in need of serious consideration. One…
Bank deregulation and acquisition activity: the cases of the US, Italy and Germany
Jens Hagendorff, Michael Collins, Kevin KeaseyBank regulators across the world have recently lifted restrictions on where banks can operate and what type of activities they can perform. Following the deregulation of the…
Implementing AML/CFT measures that address the risks and not tick boxes
Marcus Killick, David ParodyThe purpose of this paper is to discuss the implementation of effective risk‐based anti‐money laundering (AML)/combating the financing of terrorism (CFT) systems of control in…
Financial services and markets tribunal orders that costs of successful challenge to enforcement action for market abuse be paid by FSA
Joanna GrayTo report and comment on the case Paul Davidson, Ashley Tatham v. The Financial Services Authority.
The discovery process in civil litigation and the restrictions on disclosure of Section 348 Financial Services and Markets Act 2000
Joanna GrayTo report and comment on the case Real Estate Opportunities v. Aberdeen Asset Managers Jersey Ltd & Ors.
ISSN:
1358-1988Online date, start – end:
1992Copyright Holder:
Emerald Publishing LimitedOpen Access:
hybridEditor:
- Prof John Ashton