Journal of Financial Regulation and Compliance: Volume 27 Issue 3

Supervision of lost pension accounts and unclaimed benefits

Kyoung Gook Park, Dariusz Stańko, Darren McShane

The purpose of this paper is to investigate how private pension supervisors in selected jurisdictions monitor and address lost pension accounts and unclaimed pension assets or…

Reviewing Pillar 2 regulations: credit concentration risk

Lukasz Prorokowski, Hubert Prorokowski, Georgette Bongfen Nteh

This paper aims to analyse the recent changes to the Pillar 2 regulatory-prescribed methodologies to classify and calculate credit concentration risk. Focussing on the Prudential…

The impact of public scrutiny on executive compensation

Andrew Glen Carrothers

This paper aims to examine the impact of public scrutiny on chief executive officer (CEO) compensation at Standard & Poor’s (S&P) 500 firms.

An update on self-regulation in the Canadian securities industry (2009-2016): Funnel in, funnel out and funnel away

Mark Lokanan

This paper aims to analyze the processing of complaints against investment advisors and Member firms through the Investment Industry Regulatory Organization of Canada (IIROC…

Asymmetric return response to expected risk: policy implications

Mehmet F. Dicle, Kendra Reed

As investors’ fear has an impact on their risk-return tradeoff, this fear leaves markets susceptible to sudden and large fluctuations. The purpose of this study is to suggest…

Ignoring personal moral compass: factors shaping bankers’ decisions

Mouhamed El Bachire Thiam, Jonathan Liu, John Aston

The purpose of this paper is to increase our understanding of the challenges the banking industry continues to face from an ethics standpoint more than a decade after the credit…

Quantifying the potential impact of a green supporting factor or brown penalty on European banks and lending

Jakob Thomä, Kyra Gibhardt

The European Parliament and Commission are considering introducing a green supporting factor (GSF) or brown penalty (BP) for capital reserve requirements. This paper aims to…