Table of contents
Cross‐border financial services and alternative dispute resolution in the European Economic Area
David ThomasThe paper summarises the role of alternative dispute resolution, by ombudsmen and others, in the development of the European single financial market. It describes three particular…
A regulatory framework for community development financial institutions
Andy Mullineux, Ed MayoThis paper reviews the current regulatory framework for community development financial institutions (CDFIs), which aim to enable ‘socially excluded’ people and enterprises to…
Market abuse: Statutory exceptions and defences — What protection is available?
Jonathan Herbst, Katie McCawThe new offence of market abuse was introduced by the Financial Services and Markets Act 2000 (the Act). The Financial Services Authority (FSA) is required under s. 119 of the Act…
Deposit insurance design and bank regulation in South Africa
Charles C. Okeahalam, Tudor MaxwellExplicit deposit insurance is a safety net that bank regulatory authorities use to attempt to prevent and mitigate the costs of bank failures. International experience has shown…
Regulating securities fraud: Evidence from unauthorised trading cases
Michael Bowe, Gregory JobomeThis paper summarises and evaluates the results of new empirical evidence serving as an input to the ongoing policy debate whose central objective is to design an efficient…
The Cruickshank report on competition in UK banking: Assessment and implications
Michael WolgastThis paper assesses the Cruickshank report on competition in UK banking from the perspective of a major private sector German bank. The paper starts by describing the UK market…
Unsuccessful judicial review: London Metal Exchange disciplinary action R v The London Metal Exchange Limited ex parte Albatros Warehousing BV
Joanna GrayThe London Metal Exchange is a recognised investment exchange under s. 36 Financial Services Act 1986 and is thus exempt from any need to secure authorisation under that Act…
Extent of common law duty of care owed in pensions misselling: Gorham & Others v British Telecommunications plc, Trustees of the BT Pension Scheme, & Standard Life Assurance Company
The claimants who were the Appellants in this case were a Mrs Gorham, widow of Mr Gorham, and her two young children. Mr Gorham had been employed by British Telecommunications…
Investors' claims in relation to negligent financial advice time‐barred Michael Martin & Another v Britannia Life Limited
Mr and Mrs Martin, the claimants, received financial advice from Mr Sherman, a representative of the Life Association of Scotland in 1991. The long‐term insurance business of the…
ISSN:
1358-1988Online date, start – end:
1992Copyright Holder:
Emerald Publishing LimitedOpen Access:
hybridEditor:
- Prof John Ashton