Table of contents
MONEY LAUNDERING REGULATIONS IN THE PERSONAL EQUITY PLAN INDUSTRY
SHEILA GATESThe purpose of this paper is to look at the practical implementation of procedures to comply with the money laundering regulations in the Personal Equity Plan (PEP) industry and…
WHAT IS COMPLIANCE?
GARETH ADAMSThis paper examines the nature of compliance, and its role within the modern financial services organisation. Defining compliance as the management of regulatory risk, the paper…
THE PIA: STOP‐GAP OR LASTING SOLUTION?
MAXIMILIAN J.B. HALLIn June 1994, and despite serions misgivings front the finance industry and investors alike, the Personal Investment Authority (PIA) was ‘recognised’ as the new retail…
DEVELOPMENTS IN EC AND INTERNATIONAL CAPITAL ADEQUACY REGULATIONS
MATTHEW ELDERFIELDThe paper analyses the current two main initiatives in capital adequacy regulation for banks: the EC Capital Adequacy Directive (CAD) and the Basle Committee on Banking…
CENTRAL EUROPEAN ECONOMIES AND THE FINANCES OF INTERNATIONAL ORGANISED CRIME
NICHOLAS RIDLEYAfter considering the transformation of organised crime since the 1960s, the paper summarises the political and economic conditions in the Soviet Union which encouraged the spread…
CITY DISPUTES PANEL: SPECIALIST ARBITRATION FOR THE FINANCIAL SERVICES INDUSTRY
ANNE CROSSFIELDThis paper, based on an interview with Richard Freeman, describes the creation and development of the City Disputes Panel (CDP). It is the initiative of Richard Freeman, a…
FINANCIAL DEREGULATION AND ECONOMIC ANOMIE
CHRISTOPHER STANLEYThis paper pursues the thesis which the author has previously developed under the title ‘The Legitimation of Deviance in the Financial Markets’. This thesis suggests alternative…
DATA PROTECTION: THE FIRST DECADE
JOHN LAMIDEYThis paper considers the effectiveness of the Data Protection Act since its launch in 1984. The National Audit Office prepared a report in 1993, which was critical of the Data…
ISSN:
1358-1988Online date, start – end:
1992Copyright Holder:
Emerald Publishing LimitedOpen Access:
hybridEditor:
- Prof John Ashton