HALL, MAXIMILIAN J.B. - In: Journal of Financial Regulation and Compliance 2 (1994) 4, pp. 286-313
In June 1994, and despite serions misgivings front the finance industry and investors alike, the Personal Investment Authority (PIA) was ‘recognised’ as the new retail self‐regulatory organisation (SRO)for the investment business industry in the UK. This paper traces the background to this...