Journal of Financial Regulation and Compliance: Volume 1 Issue 4

THE RIGHT OF REPLY TO TRANSFRONTIER TELEVISION BROADCASTS: A TWO‐SPEED EUROPE

VINCENT PORTER, MARTIN GABRIEL

As the Council of Europe and the European Community (EC) both failed to introduce a standard right of reply for transfrontier television broadcasts, national systems prevail. They…

FINANCIAL REGULATION FIVE YEARS ON: THE INVESTIGATIVE POWERS OF THE SROS

DESMOND HIGH, Nalin Shah

The authors review the powers of SIB and the SROs, particularly in relation to compliance and investigations, and attempt to assess their effectiveness.

THE NEED FOR A REGULATORY CHARTER

CENTO VELJANOVSKI

There has been growing concern about the accountability and procedural safeguards surrounding the economic regulation in privatised utility industries (telecommunications, gas…

SROS: A COMPLIANCE OFFICER'S PERSPECTIVE

SAMANTHA LINSLEY

Against the background of change and debate over the future structure of regulation of the financial services industry, this paper examines the self‐regulating organisations…

INTERNATIONAL INVESTMENT MANAGEMENT WITHIN A REGULATORY FRAMEWORK

ALAN THOMAS

This paper is based on the author's experience and comments on the daily life of fund managers and stockbrokers, along with the nature of the networks within which many operates…

THE ROLE OF THE COMPLIANCE OFFICER: THE INFLUENCE OF CULTURE AND COMPANY CONSTITUTION

M. Cruickshanks

This paper addresses the paradox that five years after the implementation of the Financial Services Act and despite the apparent mandatory nature of the compliance officer's…

A DUTY TO PROTECT FROM VIOLENT BEHAVIOUR: THE HEALTH AND SAFETY AT WORK ACT 1974 AND HOSPITAL SECURITY

KENNETH ROGERS

This paper in the main considers safety of staff within hospitals, although many of the problems faced by staff, particularly nurses, are experienced in a variety of organisations…

GENERATING COMPETITION IN THE ELECTRICITY INDUSTRY

MARK HALLILEY

The privatisation of the electricity industry was badly flawed. It created a generating duopoly in the form of National Power and Powergen. These two companies have a degree of…

NEGLIGENCE LAW SUITS AND THE ACCOUNTANT

ROGER TRAPP

The paper argues that increasing litigation and expanding claims on both sides of the Atlantic are threatening the survival of even the largest accounting practices. In the UK…