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Parts of this paper are based on a presentation on the same subject given by Stephen Manning to the Basel II & Banking Regulation conference organised by the Global Association of Risk Professionals in April 2005. The paper reflects the experiences of the authors in developing and implementing...
Given that the stock market is essential for the venture capitalists to exit through an initial public offering (IPO), this study explores how the laws and regulations governing the capital markets affect the venture capital industry. The paper discusses the impact of US federal state laws and...
Basel II and the EU CRD introduce, for the first time, specific Operational Risk requirements for credit institutions and investment firms. With less than 2 years available to prepare for the introduction of the simpler Operational Risk approaches, some firms would find it useful for the FSA to...
This paper summarises the FSA's enforcement action taken to date under the market abuse regime and considers how the implementation of the Market Abuse Directive (‘MAD’) will affect the work of city compliance officers. In particular, this paper focuses on the new requirement for the regulated...
The purpose of the paper is to offer an analytical framework for the Treating Customers Fairly initiative of the Financial Services Authority. The TCF agenda is set in the context of theory of consumer behaviour. The central theme is that retail financial transactions are fundamentally different...
Background to the European Commission consultation on the electronic money directive (2000/46/EC) with particular reference to the definition of ‘electronic money’, the impact on mobile telephone operators, different structures for payment of goods and services under schemes for the issue of...
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