Emerald
ESCI-ISI SCOPUS (1996-2025)
1358-1988
Cơ quản chủ quản: Emerald Group Publishing Ltd.
Lĩnh vực:
FinanceStrategy and Management
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Các bài báo tiêu biểu
PREPARING FOR A FIMBRA INSPECTION
- 1994
The purpose of this paper is to give readers an overview of a routine Financial
Intermediaries, Managers and Brokers Regulatory Association (FIMBRA) compliance
visit and to suggest to new members, who have yet to experience such a review, a
basic philosophy that might make the pressures of regulation easier to
accommodate. Compliance with FIMBRA's rules is as much in the member's interests
as it i...
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.
Implementing Basel II: an investigation of the UAE banks' Basel II preparations
Tập 16 Số 2 - Trang 173-187 - 2008
CIVIL DISCLOSURE AND FREEZING ORDERS: IMPACT OF US EXTRATERRITORIALITY PROVISIONS
Tập 3 Số 1 - Trang 55-61 - 1995
Early warning systems: Helping to steer a safer course
- 2000
In this paper, the author examines the steps that Barclays Retail Financial
Services has taken over the last few years to help identify potential risk to
investors at an earlier stage. Barclays Bank plc is regulated by the Personal
Investment Authority (PIA) and has a regulated sales force of around 1,000.
Defining dishonesty: A culture clash of law and business Royal Brunei Airlines SDN BHD v Tan
Tập 5 Số 1 - Trang 83-87 - 1997
Royal Brunei Airlines (the airline) had, in 1986, appointed Borneo Leisure
Travel (BLT) as its agent for passenger and cargo transport sales in Sabah and
Sarawak. Mr Tan was the founder of BLT, its managing director and its principal
shareholder (the only other director and shareholder being his wife) and was, in
effect, in sole control of BLT.
THE CHANGING NATURE OF FINANCIAL REGULATION IN IRELAND
Tập 4 Số 2 - Trang 157-169 - 1996
This paper examines current issues and recent changes in financial regulation in
Ireland. One of the main changes relates to the regulation of Irish financial
markets by the central bank. Other bodies will also be, involved in different
aspects of regulation. One of the main issues confronting the regulation of
markets and financial institutions is cooperation from other jurisdictions. This
issue ...
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 ...
Disciplinary procedure: ‘The new regime’
- 2000
This paper is confined to an overview on the disciplinary and appeal procedures
contained in the Financial Services and Markets Act 2000. The paper will not
deal with market abuse, civil remedies, intervention or criminal prosecutions.
It will, however, deal with discipline procedure and the appeal process. It is
important to remember, when reading this paper, that the financial services
industry ...
Co‐designing compliance to the Anti‐Money Laundering Act within the small and medium enterprise sector
Tập 21 Số 1 - Trang 84-101 - 2013
PurposeMoney laundering is a financial crime that does not directly affect a
business but poses a serious threat to a nation's stability and security. The
Australian Anti‐money Laundering and Counter Terrorism Financing Act (AML/CTF
Act – the Act) passed into law in 2006, but achieving compliance is proving a
daunting task, especially within the small and medium enterprises (SME) sector.
This pape...