Journal of Financial Regulation and Compliance: Volume 9 Issue 3

Why comply?

David Jackman

Financial firms may know only too well what it is like when a supervision visit is due the next day. The compliance officer has spent the last few weeks checking files, collating…

The impact of the new FSA ‘Training and Competence’ requirements upon senior management and the new ‘senior management’ arrangements

Chris Taylor

This paper is a development of a talk given by the author at a conference in November 2000, entitled, ‘How will T&C affect senior management? They, in particular, need to comply’…

M&As in the financial industry: A matter of concern for bank supervisors?

Michael Wolgast

Merger and acquisition activity among financial firms worldwide has increased sharply. The implications of this activity for bank supervisors are the focus of this paper. Topics…

Financial services and markets: Civil rights of action

George Staple, Karen Anderson

Draft regulations published for consultation by the government under the Financial Services and Markets Act 2000 would create statutory rights of action for loss suffered as a…

The Financial Services Authority's new approach to regulation

David Capps, Sam Linsley

The new single regulator for financial services, which acquires its main powers under the new Financial Services and Markets Act 2000, brings together nine regulatory and…

Jordanian, Kuwaiti and Omani securities regulation: Can they be the subject matter of a viable comparative study with EU securities regulation? (Part Two)

Lu'ayy Minwer Al‐Rimawi

This is the second of two papers which examine the question of whether Arab securities regulations can be the subject matter of a methodological study in comparative securities…

R v Secretary of State for the Environment, Transport and the Regions ex parte Holding and Barnes plc and others

Slynn LJ, Nolan LJ, Hoffmann LJ, Hutton LJ, Clyde LJ, Joanna Gray

Although the facts giving rise to this decision concerned planning control and planning law the decision is of relevance to the debate about the applicability of the Human Rights…

Three Rivers District Council v Governor and Company of Bank of England

Steyn LJ, Hope LJ, Hutton LJ, Hobhouse LJ, Millett LJ

The various pre‐trial stages of these complex proceedings have been discussed in previous issues of this Journal in Vol. 5, No. 1, pp. 70–72, Vol. 7, No. 3, pp. 274–280, Vol. 8…

Secondary legislative layer of Financial Services and Markets Act 2000 takes shape

The Economic Secretary to HM Treasury, Miss Melanie Johnson, announced on 15th March that ‘N2’, the date on which most of the Financial Services and Markets Act 2000 will be…