Journal of Financial Regulation and Compliance: Volume 28 Issue 1

The effectiveness of MiFID provisions for professional clients: a critical review

Tom Loonen, Randy Pattiselanno

This paper aims to identify the duty of care that applies to ‘professionally classified clients’ based on the recently implemented Markets in Financial Instruments Directive II…

Examining the role of institutional framework in promoting financial literacy by microfinance deposit-taking institutions in developing economies: Evidence from rural Uganda

George Okello Candiya Bongomin, John C. Munene

This paper aims to examine the role of institutional framework of regulative, normative, and cultural-cognitive in promoting financial literacy by microfinance deposit-taking…

Capital regulation and ownership structure on bank risk

Aysa Siddika, Razali Haron

This paper aims to examine the impact of capital regulation, ownership structure and the degree of ownership concentration on the risk of commercial banks.

Learn to build an error management culture

Elianne van Steenbergen, Danny van Dijk, Céline Christensen, Tessa Coffeng, Naomi Ellemers

Emphasizing that errors are unacceptable and will be sanctioned does not prevent that errors are made – but can cause workers to cover up mistakes. Making an effort to identify…

Insurance regulations, risk and performance in Ghana

Baah Aye Kusi, Abdul Latif Alhassan, Daniel Ofori-Sasu, Rockson Sai

This study aims to examine the hypothesis that the effect of insurer risks on profitability is conditional on regulation, using two main regulatory directives in the Ghanaian…

Price formation of FICC research following MiFID II unbundling rules

Fidelio Tata

Traditionally, full-service broker/dealers catering to institutional investors have bundled trade execution with investment research. Since 2018, new market regulation has forced…

FDI in Africa: potential implications of Brexit on South Africa’s financial sector

Silindile Nomfihlakalo Buthelezi

This paper aims to investigate whether any potential weakening of the UK’s financial sector, as a result of Brexit, will have a negative impact on South Africa’s financial sector…

Modeling effects of banking regulations and supervisory practices on capital adequacy state transition in developing countries

Ali Jamali

The FDIC Improvement Act of 1991 sets out five categories of capital and mandates corrective action for banks. Each bank based on its capital amount fall in the certain categories…