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ESCI-ISI SCOPUS (1996-2025)
1358-1988
Cơ quản chủ quản: Emerald Group Publishing Ltd.
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Các bài báo tiêu biểu
The insurance industry and the Financial Services Authority
Tập 6 Số 1 - Trang 70-74 - 1998
Insurance has been seen as a distinct function and discipline. Over the last few
years, market changes have lessened the distinctiveness of insurance. This is
being reflected in the government's proposals for a new single regulator for
financial institutions, the Financial Services Authority. The new regulator will
further reduce the distinctiveness of insurance by seeking to apply common
systems ...
Not another damned exam!?!
Tập 12 Số 1 - Trang 9-13 - 2004
This piece critically reviews the potential impact of the FSA’s application of
its ‘Operational Risk’ approach to regulation. It uses the Treasury proposals
for ‘Sandler’ products as an example of the disastrous results that can arise
from the combination of political direction of product design with inept
regulation.
High court rules customer who opted from private to intermediate customer status to have been contributorily negligent to his spread betting losses
Tập 16 Số 4 - Trang 414-420 - 2008
PurposeThe article's aim is to report and comment on the High Court case
Spreadex Ltd v. Sekhon.Design/methodology/approachThe article outlines the facts
surrounding the case and comments on the ruling.FindingsThe High Court rules
that a customer who opted from private to intermediate customer status was
contributorily negligent to his spread betting losses.Originality/valueThe
article shows that ...
Regulation development and MiFID impact on collective investment in Spain
- 2008
PurposeThe objective of this paper is to review Spanish regulatory evolution in
the collective investment area, which is very recent in its principal
aspects.Design/methodology/approachThe paper assesses the way investment funds
are impacted by the Markets in Financial Instruments Directive (MiFID) and the
Spanish legislation.FindingsThe legal aspect of the Collective investment
institutions (CII)...
Financial globalisation: Is it a threat to key central bank functions? The case of Mauritius
Tập 10 Số 1 - Trang 55-67 - 2002
There has been much discussion over recent years of the likely impact of
‘financial globalisation’ on the financial services sector specifically and on
the stability of national economies. This paper examines how and to what extent
the ‘threats’ from financial globalisation manifest themselves in relation to
the functions of regulation and supervision carried out by central banks. A
theoretical pe...
Lloyds TSB General Insurance Holdings Ltd and others v Lloyds Bank Group Insurance Co Ltd; Abbey National plc v Lee and others
- 2001
Private personal pension plans had been represented and sold by representatives
of the two claimants in these conjoined actions to members of the public as an
alternative to occupational pension schemes. As is only too well known by now
these sales were in contravention of the obligation to give ‘best advice’ under
the Financial Services Act 1986 and applicable LAUTRO Rules and Code of Conduct.
Bo...
Market risk disclosure: evidence from Malaysian listed firms
Tập 17 Số 1 - Trang 57-69 - 2009
PurposeThe purpose of this paper is to investigate the market risk disclosure
practices among Malaysian listed firms. Specifically, it aims to examine the
level of compliance with FRS132: Financial Instruments – Disclosure and
Presentation for financial periods beginning or after
2006.Design/methodology/approachThe approach taken is content analysis and
coding procedure.FindingsAlthough a large nu...
Secondary legislative layer of Financial Services and Markets Act 2000 takes shape
Tập 9 Số 3 - Trang 284-286 - 2001
The Economic Secretary to HM Treasury, Miss Melanie Johnson, announced on 15th
March that ‘N2’, the date on which most of the Financial Services and Markets
Act 2000 will be implemented, will definitely take place before the end of
November 2001. That important and long awaited announcement has been followed by
a spate of government and parliamentary activity in order to put in place
essential ele...
Automated compliance systems
- 1999
In recent years, investment management companies and other financial service
entities have placed an increasing emphasis on strengthening their compliance
departments and systems. Factors contributing to this heightened emphasis on
compliance include the globalisation and growth of the financial services
industry; the development of new and more complex financial instruments;
increased scrutiny, h...