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Financial services and markets tribunal orders that costs of successful challenge to enforcement action for market abuse be paid by FSA

Gray, Joanna - In: Journal of Financial Regulation and Compliance 15 (2007) May, pp. 217-220

Purpose – To report and comment on the case Paul Davidson, Ashley Tatham v. The Financial Services Authority. Design/methodology/approach – Outlines the facts and explains the decision reached. Findings – The Tribunal ruled that the decision of the Financial Services Authority (FSA) which...

Persistent link: https://www.econbiz.de/10004987511

Court castigates BCCI liquidators' claim against Bank of England

Gray, Joanna - In: Journal of Financial Regulation and Compliance 14 (2006) November, pp. 411-417

. Findings – The UK's longest running and most expensive civil litigation has been labelled a farce by both the trial judge and …

Persistent link: https://www.econbiz.de/10004987560

FThe discovery process in civil litigation and the restrictions on disclosure of Section 348 Financial Services and Markets Act 2000

Gray, Joanna - In: Journal of Financial Regulation and Compliance 15 (2007) May, pp. 221-226

Purpose – To report and comment on the case Real Estate Opportunities v. Aberdeen Asset Managers Jersey Ltd & Ors. Design/methodology/approach – Outlines the facts and explains the decision reached. Findings – The Court ruled that the rules relating to the attribution of knowledge to a...

Persistent link: https://www.econbiz.de/10004987597

Court castigates BCCI liquidators' claim against Bank of England

Gray, Joanna - In: Journal of Financial Regulation and Compliance 14 (2006) 4, pp. 411-417

. Findings – The UK's longest running and most expensive civil litigation has been labelled a farce by both the trial judge and …

Persistent link: https://www.econbiz.de/10014870044

Financial services and markets tribunal orders that costs of successful challenge to enforcement action for market abuse be paid by FSA

Gray, Joanna - In: Journal of Financial Regulation and Compliance 15 (2007) 2, pp. 217-220

Purpose – To report and comment on the case Paul Davidson, Ashley Tatham v. The Financial Services Authority . Design/methodology/approach – Outlines the facts and explains the decision reached. Findings – The Tribunal ruled that the decision of the Financial Services Authority (FSA) which...

Persistent link: https://www.econbiz.de/10014870065

The discovery process in civil litigation and the restrictions on disclosure of Section 348 Financial Services and Markets Act 2000

Gray, Joanna - In: Journal of Financial Regulation and Compliance 15 (2007) 2, pp. 221-226

Purpose – To report and comment on the case Real Estate Opportunities v. Aberdeen Asset Managers Jersey Ltd & Ors . Design/methodology/approach – Outlines the facts and explains the decision reached. Findings – The Court ruled that the rules relating to the attribution of knowledge to a...

Persistent link: https://www.econbiz.de/10014870066

Co-designing compliance to the Anti-Money Laundering Act within the small and medium enterprise sector

Kelkar, Ameya; Rao, Asha - In: Journal of Financial Regulation and Compliance 21 (2013) February, pp. 84-101

Purpose – Money laundering is a financial crime that does not directly affect a business but poses a serious threat to a nation's stability and security. The Australian Anti-money Laundering and Counter Terrorism Financing Act (AML/CTF Act – the Act) passed into law in 2006, but achieving...

Persistent link: https://www.econbiz.de/10010815041

Meta-regulation of OTC derivatives contracts post reform

Listokin-Smith, Siona - In: Journal of Financial Regulation and Compliance 21 (2013) May, pp. 188-200

Purpose – The purpose of this paper is to examine the probable structure of bilateral derivatives contracts following international regulatory reforms. Design/methodology/approach – The theoretical context of the paper is private and meta-regulation, which the author applies to a case study...

Persistent link: https://www.econbiz.de/10010815049

How increased enforcement can offset statutory deregulation: The case of the Community Reinvestment Act

Vitaliano, Donald F.; Stella, Gregory P. - In: Journal of Financial Regulation and Compliance 15 (2007) July, pp. 262-274

Purpose – This paper aims to estimate the cost to US savings banks and savings and loan institutions with assets under $250 million of complying with the anti-redlining Community Reinvestment Act (CRA). Design/methodology/approach – Compliance cost is modeled as a type of inefficiency...

Persistent link: https://www.econbiz.de/10004987507

Special bank resolution and shareholders' rights: balancing competing interests

Hüpkes, Eva - In: Journal of Financial Regulation and Compliance 17 (2009) July, pp. 277-301

Convention on Human Rights and the applicable community legislation. It considers different options for resolution within this …

Persistent link: https://www.econbiz.de/10004987607