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After first examining what compliance is, the paper goes on to look at the demands of regulators on compliance offices and, in particular, the different advice and requirements of SROs. The author considers the lack of consistency shown by regulators over training and competence, money market...
After setting out the background, authority and objectives of the Accountants' Joint Disciplinary Scheme, the author examines the considerable changes made to it in January 1993.
The author examines the historical and political background to the creation of the Securities and Exchange Commission, identifying the use made by its architects of earlier English company legislation to define its regulatory remit before making a detailed evaluation of its structure and powers....
The purpose of this paper is to explain the standards required of saleforces under the Lautro Rules when giving advice to explore how and why these standards have not always been achieved and to discuss ways in which Lautro members can establish and maintain procedures to maximise investor...
This paper is concerned with the recommendations of the Committee on the Financial Aspects of Corporate Governance under the Chairmanship of Sir Adrian Cadbury Final Report 1st December, 1992. The paper analyses the recommendations of the Committee with particular reference to the establishment...
This paper examines the role of regulators and ombudsmen in dealing with complaints in the light of the requirement of Britain's Citizen's Charter. It considers in particular the arrangements for ensuring that potential complainants know of the systems available and the way to put them into...
The main recommendation of the Report of the Pension Law Review Committee is that trust law will continue to provide the basic structure for occupational pensions in the UK but it will be strengthened by a pensions act administered by a pensions regulator. The Report also proposes minimum...
A large amount of legislation in the field of EC banking and financial services has been produced in preparation for the 1993 deadline for a single market. In some areas the legislative programme has been more successful than in others. This paper examines one field, that of regulation of...
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