Search results

1 – 10 of 407
Per page
102050
Citations:
Loading...
Available. Content available
Article
Publication date: 31 July 2007

51

Abstract

Details

Journal of Financial Regulation and Compliance, vol. 15 no. 3
Type: Research Article
ISSN: 1358-1988

Access Restricted. View access options
Article
Publication date: 1 December 2005

Richard Burger and George Davies

This paper summarises the FSA's enforcement action taken to date under the market abuse regime and considers how the implementation of the Market Abuse Directive (‘MAD’) will…

529

Abstract

This paper summarises the FSA's enforcement action taken to date under the market abuse regime and considers how the implementation of the Market Abuse Directive (‘MAD’) will affect the work of city compliance officers. In particular, this paper focuses on the new requirement for the regulated sector to make suspicious transaction reports in respect of market abusive behaviour as well as considering how the newly revamped market abuse regime will sit alongside the criminal offence of insider dealing.

Details

Journal of Financial Regulation and Compliance, vol. 13 no. 4
Type: Research Article
ISSN: 1358-1988

Keywords

Access Restricted. View access options
Article
Publication date: 1 March 1993

Peng S. Chan

Examines the key elements that are involved in managing successfulturnarounds. An analysis of the turnaround strategies of more than tenglobal companies revealed that these…

446

Abstract

Examines the key elements that are involved in managing successful turnarounds. An analysis of the turnaround strategies of more than ten global companies revealed that these strategies incorporated similar sequential processes: identification of problem and need for change; replacement of incumbent CEO; major cost‐cutting attempts; refocusing on core businesses, and reinvesting for the future.

Details

Management Decision, vol. 31 no. 3
Type: Research Article
ISSN: 0025-1747

Keywords

Access Restricted. View access options
Article
Publication date: 1 October 2006

Richard Burger and George Davies

The purpose of this paper is to describe the ramifications of the UK Extradition Act of 2003 in the light of the extradition of the “Nat West Three” to the USA.

246

Abstract

Purpose

The purpose of this paper is to describe the ramifications of the UK Extradition Act of 2003 in the light of the extradition of the “Nat West Three” to the USA.

Design/methodology/approach

The paper briefly outlines the background to the case and discusses British extradition arrangements.

Findings

The increasing harmonization of regulation and co‐operation between enforcement agencies across international borders, combined with the increasing criminalization of regulatory breaches has made the risk of extradition all too real for city professionals.

Originality/value

The paper highlights changes to UK extradition procedures and the implications for white collar crime.

Details

Journal of Financial Regulation and Compliance, vol. 14 no. 4
Type: Research Article
ISSN: 1358-1988

Keywords

Access Restricted. View access options
Article
Publication date: 27 February 2007

Samantha Hatt and Richard Burger

The purpose of this paper is to consider the outcome of the Financial Services Authority (FSA)'s first ever contested criminal prosecution of company directors accused of making…

188

Abstract

Purpose

The purpose of this paper is to consider the outcome of the Financial Services Authority (FSA)'s first ever contested criminal prosecution of company directors accused of making misleading statements to the market.

Design/methodology/approach

The paper reviews the trial and the comments of the trial judge and court of appeal on sentence and confiscation.

Findings

This case shows the FSA's willingness to prosecute significant cases of market misconduct and how seriously the courts consider such behaviour.

Originality/value

This paper will be of interest to the directors and officers of listed companies, their professional advisers and regulatory lawyers.

Details

Journal of Financial Regulation and Compliance, vol. 15 no. 1
Type: Research Article
ISSN: 1358-1988

Keywords

Access Restricted. View access options
Article
Publication date: 31 July 2007

Richard Burger

The purpose of this study is to consider the case of Sean Pignatelli and consider surrounding commentary on the misuse of market information.

338

Abstract

Purpose

The purpose of this study is to consider the case of Sean Pignatelli and consider surrounding commentary on the misuse of market information.

Design/methodology/approach

The paper reviews the Financial Services Authority's (FSA) Final Notice and related publications.

Findings

The paper finds that there may be limitations to the use of the market abuse regime and therefore the FSA may consider the greater use of Principles to “punish” those who engage in market misconduct.

Originality/value

This study will be of interest to approved persons, compliance officers and regulatory lawyers.

Details

Journal of Financial Regulation and Compliance, vol. 15 no. 3
Type: Research Article
ISSN: 1358-1988

Keywords

Access Restricted. View access options
Article
Publication date: 20 November 2007

Richard Burger and William Dodsworth

This paper seeks to consider the first ever report by the National Audit Office (NAO) on the economy, efficiency and effectiveness of the Financial Services Authority (FSA).

465

Abstract

Purpose

This paper seeks to consider the first ever report by the National Audit Office (NAO) on the economy, efficiency and effectiveness of the Financial Services Authority (FSA).

Design/methodology/approach

This paper reviews the NAO's report and the FSA's response.

Findings

The paper finds that the majority of the NAO's findings and recommendations have been accepted and incorporated into the FSA's planning.

Originality/value

This paper will be of interest to regulated firms and regulatory and public law lawyers.

Details

Journal of Financial Regulation and Compliance, vol. 15 no. 4
Type: Research Article
ISSN: 1358-1988

Keywords

Access Restricted. View access options
Article
Publication date: 1 January 2006

Richard Burger

To consider the recommendations made by the Financial Services Authority (FSA) enforcement process review (the review).

437

Abstract

Purpose

To consider the recommendations made by the Financial Services Authority (FSA) enforcement process review (the review).

Design/methodology/approach

This paper has considered the concerns raised by the Financial Services and Markets Tribunal in the Legal & General case, the reaction of the FSA to those concerns and the terms of reference for the review, plus the impact of the review's 44 recommendations.

Findings

That the recommendations will bring greater transparency to the FSA's process of investigating regulatory breaches and taking enforcement action against firms and individuals, although it may take some time for the regulator and the city to adapt to the revised enforcement process.

Originality/value

This paper will be of interest to firms and individuals in the regulated sector and regulatory lawyers interested in the FSA's enforcement process.

Details

Journal of Financial Regulation and Compliance, vol. 14 no. 1
Type: Research Article
ISSN: 1358-1988

Keywords

Access Restricted. View access options
Article
Publication date: 1 July 2006

Richard Burger and Samantha Hatt

The FSA Financial Crime Sector Leader, Philip Robinson, outlined the FSA's new policy on fraud within the regulated sector in his October 2004 speech. The FSA subsequently…

727

Abstract

Purpose

The FSA Financial Crime Sector Leader, Philip Robinson, outlined the FSA's new policy on fraud within the regulated sector in his October 2004 speech. The FSA subsequently undertook a review of 16 regulated firms and how to prevent and detect fraud. This paper considers the findings of the FSA's Firm's High‐Level Management of Fraud Risk Report and the reference to financial crime in the FSA's recent Financial Risk Outlook 2006 and Business Plan 2005/2006.

Design/methodology/approach

The topic has been approached to consider the development of the FSA's policy on fraud with reference to speeches and policy documents.

Findings

That financial crime is a significant threat to the financial services sector. Firms have taken proactive steps to tackie fraud, but more can be done. The 2006 may see greater focus by the FSA on firms' anti‐fraud measures.

Originality/value

In examining the FSA's policy on anti‐fraud management this papers seek identify what the FSA requires from firms in terms of anti‐fraud measures. This paper should be of interest to compliance officers, MLRO Officers, fraud investigators and regulatory lawyers.

Details

Journal of Financial Regulation and Compliance, vol. 14 no. 3
Type: Research Article
ISSN: 1358-1988

Keywords

Access Restricted. View access options
Article
Publication date: 16 August 2024

Carlo Brescia Seminario

This study aims to promote the preservation of endangered traditional knowledge and practices in the Andes of Peru by documenting, publishing and disseminating them.

24

Abstract

Purpose

This study aims to promote the preservation of endangered traditional knowledge and practices in the Andes of Peru by documenting, publishing and disseminating them.

Design/methodology/approach

Based on a literature review of coca and coca divination, the author will describe these types of divination practices. Subsequently, the author will address the context and characteristics of a coca reading conducted in October 2022. Afterwards, the threats and prejudices faced by this type of indigenous knowledge and practice are discussed.

Findings

Coca divination in the Andean region of Ancash differs from the most common form of divination with coca leaves performed in northern Argentina, Bolivia, northern Chile, Colombia and southern Peru. The results of the coca reading conducted in October 2022 align with Andean worldviews. These practices and the associated episteme face various threats from academic, social and political actors and their discourses.

Practical implications

Scientific and academic researchers should be aware that their work can foster and maintain epistemic colonialism in Latin American territories. Archaeological excavations and interpretations should respect ancestral and traditional worldviews and practices.

Originality/value

This study advances the understanding of coca divination in the Andes of Ancash, Peru, by providing nuanced insights into this cultural practice in relation to a landslide event that occurred near a 3,000-year-old temple. The implications extend beyond academic discourse, offering valuable perspectives for conducting archaeological excavation activities that respect ancestral and traditional local beliefs. Future research should build on these findings to deepen comprehension of threats to traditional beliefs and practices.

Details

Drugs, Habits and Social Policy, vol. 25 no. 2
Type: Research Article
ISSN: 2752-6739

Keywords

1 – 10 of 407
Per page
102050