Table of contents
THE ALTERNATIVE INVESTMENT MARKET: THE REGULATORY ISSUES
TIM STEADMANThe Alternative Investment Market was launched by the London Stock Exchange with much publicity in June 1995. It is a market created for smaller and growing companies, with fewer…
MARKET RISK, CORPORATE GOVERNANCE AND THE REGULATION OF FINANCIAL FIRMS
PETER CASSONThe growth in derivative activities, and the change in the way financial firms conduct these activities, has led to the development of practices within firms to manage risk. These…
TRADING AND MARKET MAKING SURVEILLANCE PROGRAMME FOR THE NASDAQ STOCK MARKET
JOHN E. JR. PINTOA high level of confidence by all market participants in the quality of the price, volume and transaction information that is disseminated to the marketplace is vital to the…
EUROPEAN INVESTMENT FUNDS: THE UCITS DIRECTIVE OF 1985 AND THE OBJECTIVES OF THE PROPOSAL FOR A UCITS II DIRECTIVE
DANIELE CIANIThe European single market, as laid down in the Treaty of Rome of 1958, aims at the suppression of the concept of national residence as far as economic relationships are…
THE CHANGING NATURE OF FINANCIAL REGULATION IN IRELAND
JIM STEWARTThis paper examines current issues and recent changes in financial regulation in Ireland. One of the main changes relates to the regulation of Irish financial markets by the…
THE IMPORTANCE OF CHOICE OF LAW AND FINALITY TO PvP, NETTING AND COLLATERAL ARRANGEMENTS
RANDALL GUYNN, MARGARET TAHYARThe authors argue that two of the significant legal issues that must be solved if cross‐border payment versus payment, netting and collateral arrangements are to achieve their…
CURRENCY BROKERS AND THE DUTY OF CARE
MR J.P. WADSWORTH QC, Joanna GrayThis case involved foreign exchange transactions conducted by the First Defendants, a firm of commodities traders then trading as LHW Futures Ltd (LHW), on behalf of the…
COCKING V PRUDENTIAL ASSURANCE COMPANY LTD MACKRELL V GAN LIFE & PENSIONS PLC SILAVANT V GAN LIFE & PENSIONS PLC SZILAYAGA V TSB PENSIONS LTD AND TSB LIFE LTD PARKER V HILL SAMUEL LIFE ASSURANCE LTD GREENWOOD V IRISH LIFE ASSURANCE PLC AND MILL‐SMITH INSURANCE BROKERS LTD
Honour Judge Raymond Jack QC Presiding, Joanna GrayThis case concerned applications that the aforementioned six actions be stayed. The six separate actions arose out of the personal pensions misselling that in turn forms the…
PERSONAL INVESTMENT AUTHORITY: RULE CHANGE UPDATE
In December 1995 the PIA issued Rule Notices 14 and 15.
BOOK REVIEWS
Joanna GrayRegulation and compliance professionals and students of regulation will find these books interesting and thought provoking. Although many a reader would be justifiably sceptical…
ADVANCE FEE AND PRIME BANK INSTRUMENT FRAUDS
Rowan Bosworth‐DaviesA few years ago, I was instructed to act in the defence of an ambitious but remarkably naive assistant bank manager who was being investigated for the part he had played in…
ISSN:
1358-1988Online date, start – end:
1992Copyright Holder:
Emerald Publishing LimitedOpen Access:
hybridEditor:
- Prof John Ashton