Journal of Financial Regulation and Compliance: Volume 19 Issue 3

The sleeping watch dog: aka the Securities and Exchange Commission

Frank S. Perri, Richard G. Brody

The purpose of this paper is to expose inefficient regulatory policies and organizational weaknesses at the Securities and Exchange Commission (SEC) that have contributed to a…

The effectiveness of corporate governance policy in Greece

Harilaos Mertzanis

The effectiveness of corporate governance enforcement is a complex issue requiring the understanding of the role of institutional factors. The latter may or may not converge…

Corporate governance legal and regulatory framework's effectiveness in Greece: A response

Themistokles Lazarides

The purpose of the paper is to address the issues raised by the author of the paper “The effectiveness of corporate governance in Greece”.

Sarbanes Oxley's impact upon investor‐relevant risk types

Nicholas V. Vakkur, Zulma J. Herrera

The purpose of this study is to empirically analyze, with a greater degree of accuracy than is currently presented in the literature, the comprehensive risk impact of the Sarbanes…

Voluntary risk reporting to enhance institutional and organizational legitimacy: Evidence from Portuguese banks

Jonas Oliveira, Lúcia Lima Rodrigues, Russell Craig

This paper aims to explore the factors that affected the voluntary risk‐related disclosures (RRD) in the individual annual reports for 2006 of Portuguese banks. It also explores…

A macro‐prudential perspective of financial regulation

Tristan Nguyen

In the recent financial crisis, many observers have assigned monetary policy a central role in the crisis. Specifically, they claim that excessively easy monetary policy by the…

Legal commentary

Joanna Gray

The purpose of this paper is to discuss the High Court's rejection of claims made against a UK bank by a US‐based customer in relation to foreign exchange dealing it carried out…