Journal of Financial Regulation and Compliance: Volume 8 Issue 4

Banking regulation and supervision in Tanzania, Uganda and Zambia: A review of banking sector reforms

Samuel Munzele Maimbo

This paper describes the problems of bank regulation and supervision found in Tanzania, Uganda and Zambia, highlighting the institutional weaknesses facing bank regulators. It…

Raising the threshold for audit exemption for small companies: Some implications for other users of audit services

Stella Fearnley, Tony Hines, Karen McBride, Richard Brandt

As part of a deregulation initiative for small businesses, the audit exemption limit was raised to £1m by the Audit Exemption (Amendment) Regulations 2000 in May 2000. This paper…

An ideal regulatory model for dealing with retail financial institution runs and failures

R.B. Lambert, A. Simon

This paper presents an integrated regulatory model to protect depositors in the event of a retail financial institution run or failure. In Australia, many of the factors included…

How to encourage whistleblowing

David Crook

This paper, derived from a conference presentation, discusses corporate fraud and the role that ‘whistleblowing’ can play in combating malpractice. It examines why employees have…

Education, advice, and the Financial Services Authority's statutory objective

Patrick Ring

For the first time, a UK financial services regulator will have a statutory duty to enhance financial education in the UK. The Financial Services Authority is now beginning to set…

How the FSMA will impact on retail financial services

Simon Morris

The Financial Services and Markets Act (FSMA) will have a significant impact on the UK financial services industry, but it is suggested that it will make relatively few changes in…

Jordanian, Kuwaiti and Omani securities regulation: Can they be the subject matter of a viable comparative study with EU securities regulation? (Part One)

Lu'ayy Minwer Al‐Rimawi

This is the first of two papers which examine whether Arab securities regulations can be the subject of a methodological study in comparative securities regulation, especially…

House of Lords rules on Bank of England immunity in respect of BCCI supervision Three Rivers District Council and others v Governor and Company of the Bank of England

Steyn LJ, Hutton LJ, Millet LJ, Joanna Gray

The factual background to this House of Lords decision lies in the 1991 collapse of the Bank of Credit and Commerce International (BCCI) Banking Group. The Appellants (who were…