Table of contents
THE SINGLE MARKET IN EUROPE: AN EXAMINATION OF THE ARRANGEMENTS FOR POLICING FINANCIAL SERVICES
MICHAEL CHANCEThis paper looks at the principal investigatory powers, both criminal and regulatory, available in the policing of the commercial, banking, insurance and financial services…
THE WORK OF THE OMBUDSMAN
SIMON DENISONBritain's nine ombudsmen provide an informal and inexpensive mechanism for resolving disputes and grievances that arise between individual members of the public and organisations…
NEW GUIDELINES FROM THE GERMAN BUNDESBANK ON THE ISSUE OF DM‐DENOMINATED BONDS
DANIELA WEBER‐REYThe paper considers the regulatory framework for the issue of DM‐denominated bonds and, in particular, the extent to which the Bundesbank Statement, effective from 1st August…
PRACTICAL TRAINING FOR COMPLIANCE OFFICERS: AN ASSESSMENT
ROWAN BOSWORTH‐DAVIESThe purpose of this paper is to examine the attitudes of financial service compliance officers towards the provision of practical training in specific aspects of regulatory…
THE NEW SETTLEMENT UNDER THE FINANCIAL SERVICES ACT 1986
PAULINE ASHALLThe paper begins by describing the background to, and effect of, the Financial Services Act 1986 (FSA). It goes on to consider both the need for change to the regulatory system…
COMPETITION AND THE PROTECTION OF CUSTOMERS IN THE WATER AND SEWERAGE INDUSTRIES — A CITIZENS' CHARTER?
ALLAN MERRYThe paper outlines the main statutory provisions which apply to the water and sewerage industry and, in so doing, it considers the regulatory duties and powers of the Director…
HISTORICAL TOUCHSTONES IN THE REGULATION OF THE FINANCIAL SERVICES SECTOR: THE EVOLUTION OF FINANCIAL SERVICES REGULATION
GEORGE GILLIGANThis paper surveys the historical development of financial services regulations in the UK, especially the social conditions and power relations that have shaped the evolution of…
FUTURES AND OPTIONS: REGULATORY AND DERIVATIVE ISSUES
IAIN CULLENThis paper describes the current status of the Securities & Investments Board (SIB) Regulations relating to futures and options funds (FOFs) and geared futures and options funds…
REGULATORY OPERATION AND MANAGEMENT: THE FUNCTIONS OF THE PROPOSED ENVIRONMENT AGENCY
WILLIAM HOWARTHThe paper starts by considering the history of environmental legislation and the need for integrated pollution control. After describing the establishment of Her Majesty's…
THE REGULATORY ROLE OF THE INDEPENDENT TELEVISION COMMISSION
MICHAEL REDLEYThe paper discusses the operation of the Broadcasting Act 1990 as it affects the regulation of commercial television broadcasting in the UK. It considers the scope of the…
REGULATION OF US DERIVATIVES AND TITLE V OF THE FUTURES TRADING PRACTICES ACT OF 1992
THOMAS A. RUSSO, MARLISA VINCIGUERRAThe paper starts by setting out the regulatory structure for derivatives markets in the USA and some of the problems associated with it. It then considers the provisions afforded…
THE STATUTORY COMMITTEE OF THE ROYAL PHARMACEUTICAL SOCIETY OF GREAT BRITAIN — THE FUNCTION OF A DISCIPLINARY BODY IN MAINTENANCE OF PROFESSIONAL STANDARDS
SUSAN SHARPEThe paper considers cases which indicate both the controls exercised by the Statutory Committee of the Royal Pharmaceutical Society of Great Britain over the profession of…
JUDICIAL REVIEW AND THE SACRED COW OF SELF‐REGULATION
JONATHAN MIDDLEBURGHIn recent years there has been a series of decisions considering the extent to which the self‐regidatory organisations (SROs) are amenable to judicial review. This briefing…
THE PRIVILEGE AGAINST SELF‐INCRIMINATION
MURRAY ROSENThis briefing reviews the historical and recent development of the privilege against self‐incrimination and its partiadar relevance in the field of financial regulation. The…
COMPLIANCE BRIEFING
MATTHEW WEAITTThe aim of the compliance section of The International Journal of Regulatory Law & Practice is that it be informative, analytical and relevant. This is based on the belief that…
ISSN:
1358-1988Online date, start – end:
1992Copyright Holder:
Emerald Publishing LimitedOpen Access:
hybridEditor:
- Prof John Ashton