Table of contents
EFFECTIVE COMPLIANCE V REGULATORY GESTATION
GARY HAGLAND AMSI MIMgtAfter first examining what compliance is, the paper goes on to look at the demands of regulators on compliance offices and, in particular, the different advice and requirements of…
THE ACCOUNTANTS' JOINT DISCIPLINARY SCHEME
Michael S. ChanceAfter setting out the background, authority and objectives of the Accountants' Joint Disciplinary Scheme, the author examines the considerable changes made to it in January 1993.
THE SEC: AN EXAMINATION OF ITS STRUCTURE, POWERS AND PROCEDURES
ROWAN BOSWORTH‐DAVIESThe author examines the historical and political background to the creation of the Securities and Exchange Commission, identifying the use made by its architects of earlier…
ENSURING SALES FORCES PROVIDE BEST ADVICE
DAVID NICHOLLSThe purpose of this paper is to explain the standards required of saleforces under the Lautro Rules when giving advice; to explore how and why these standards have not always been…
AN APPROACH TO THE INTERNAL REGULATION OF THE CORPORATION: A CRITICAL ANALYSIS OF THE RECOMMENDATIONS OF THE CADBURY COMMITTEE
CHRISTOPHER STANLEYThis paper is concerned with the recommendations of the Committee on the Financial Aspects of Corporate Governance under the Chairmanship of Sir Adrian Cadbury (Final Report 1st…
REGULATORS AND OMBUDSMEN: ACCESS AND VISIBILITY
PHILIP GIDDINGSThis paper examines the role of regulators and ombudsmen in dealing with complaints in the light of the requirement of Britain's ‘Citizen's Charter’. It considers in particular…
COMMENT: THE GOODE REPORT
DEBBIE HARRISONThe main recommendation of the Report of the Pension Law Review Committee is that trust law will continue to provide the basic structure for occupational pensions in the UK but it…
EC REGULATION OF UNDERTAKINGS FOR COLLECTIVE INVESTMENT IN TRANSFERABLE SECURITIES (UCITS)
JUSTIN RUSHBROOKEA large amount of legislation in the field of EC banking and financial services has been produced in preparation for the 1993 deadline for a single market. In some areas the…
ISSN:
1358-1988Online date, start – end:
1992Copyright Holder:
Emerald Publishing LimitedOpen Access:
hybridEditor:
- Prof John Ashton