1 - 10 of 15 articles
The increasing use of costbenefit analysis CBA in financial regulation is bringing a sharper focus on the benefits conferred by regulation. This paper addresses the impact of that sharper focus on the compliance culture of regulated firms. Why focus on the benefits of regulation What does CBA...
The London Stock Exchange is currently preparing for the largest changes in its trading practices since the Big Bang. It is already known that the Exchange is proposing to retain its practice of delaying the publication of large trades so as to encourage the execution of such trades, even though...
The past decade, with its unprecedented surge in financial activity and the occurence of financial crises, has been one of increased awareness on the part of both regulatory authorities and market participants of payment system's potential for propagating and amplifying financial shocks,...
The deregulation of international banking and financial markets has raised a number of concerns about their fragility and risk of collapse through systemic contagion. A large amount of research has been conducted to explore policy solutions to this problem. However, there is little work in the...
In this paper Dr Taylor outlines his proposals for a radical shakeup of the UK's system for regulating financial services. Market developments over the last decade mean that the existing boundaries between regulators, which are based on the traditional distinctions between banking, securities,...
This paper sets out to examine, on an elemental basis, the key standards and qualities expected of compliance staff and the difficulties that breakdown in the compliance systems can cause. It is aimed at both seasoned campaigners and new starts alike. If it prompts thought it has achieved its goal.
The decision of the House of Lords in the Preddy appeal has led to a string of appeals against conviction to the Court of Appeal from individuals convicted under s.15 Theft Act 1968. On 25th October the Court of Appeal quashed the convictions of seven such appellants as being rendered unsafe in...
SIB Guidance Release 396 standards for the custody of customer's investments The Treasury has decided to make custody of investments an activity requiring authorisation under the Financial Services Act 1986 so SIB has now published Guidance addressed to selfregulatory organisations SROs and...
The Plaintiffs were depositors who had lost monies in the collapse of Bank of Credit and Commerce International BCCI. BCCI itself was named as a Plaintiff since it was an assignee of the claims of Plaintiff depositors. The Plaintiffs made a very large number of allegations against the Bank of...
Section 31 of the Banking Act 1987 stipulates that
Read and print from thousands of top scholarly journals.
Continue with Facebook
Sign up with Google
Log in with Microsoft
Already have an account? Log in
Bookmark this article. You can see your Bookmarks on your DeepDyve Library.
To save an article, log in first, or sign up for a DeepDyve account if you don’t already have one.
Sign Up Log In
To subscribe to email alerts, please log in first, or sign up for a DeepDyve account if you don’t already have one.
To get new article updates from a journal on your personalized homepage, please log in first, or sign up for a DeepDyve account if you don’t already have one.