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Short selling and the development of anti-shorting laws in the UK
Mohamad, Azhar - In: Journal of Financial Regulation and Compliance 24 (2016) 1, pp. 9-23
describe the history of short selling and anti-shorting laws. With respect to short-selling regulation, the main emphasis will … be placed on the UK FSA’s regulatory action. Design/methodology/approach – This paper reviews the history of short …’ knowledge, this paper is the first to review the history of short selling and the development of anti-shorting laws …
Persistent link: https://www.econbiz.de/10014870731
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The dual role of the government: securities market regulation in China 1980‐2007
Ma, Jingyun; Song, Fengming; Yang, Zhishu - In: Journal of Financial Regulation and Compliance 18 (2010) 2, pp. 158-177
Purpose – The purpose of this paper is to examine the evolution of China's securities market regulation from 1980 to … simultaneously the owner and regulator of the securities market, the evolution of securities market regulation follows a path of … market regulation from 1980 to 2007 to illustrate this theoretical framework. Findings – Using the case of China, this paper …
Persistent link: https://www.econbiz.de/10014870160
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The dual role of the government: securities market regulation in China 1980-2007
Ma, Jingyun; Song, Fengming; Yang, Zhishu - In: Journal of Financial Regulation and Compliance 18 (2010) May, pp. 158-177
Purpose – The purpose of this paper is to examine the evolution of China's securities market regulation from 1980 to … simultaneously the owner and regulator of the securities market, the evolution of securities market regulation follows a path of … market regulation from 1980 to 2007 to illustrate this theoretical framework. Findings – Using the case of China, this paper …
Persistent link: https://www.econbiz.de/10009395144
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Towards a practical approach to responsible innovation in finance: New Product Committees revisited
Armstrong, Margaret; Cornut, Guillaume; Delacôte, Stéphane - In: Journal of Financial Regulation and Compliance 20 (2012) May, pp. 147-168
Purpose – The purpose of this paper is to highlight the potentials offered by New Product Committees for the development of responsible innovation in the financial services industry; and to provide grounds for policy recommendations. Design/methodology/approach – The paper takes the form of...
Persistent link: https://www.econbiz.de/10010815036
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Could we rely on market discipline as a substitute for insurance regulation?
Castagnolo, Fernando; Ferro, Gustavo - In: Journal of Financial Regulation and Compliance 21 (2013) February, pp. 4-15
it is a complement or substitute of prudential regulation in the insurance markets. Market discipline is intended as “the … hypothesis is that if market discipline works as complementary to prudential regulation, the response of the insured is expected … to be weaker than if market discipline acts as a substitute to prudential regulation. Design/methodology/approach – The …
Persistent link: https://www.econbiz.de/10010815038
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The effectiveness of remuneration committees in European banks: Regulation and best practices
Dell'Atti, Antonio; Intonti, Mariantonietta; Iannuzzi, … - In: Journal of Financial Regulation and Compliance 21 (2013) October, pp. 373-396
Purpose – Following the subprime crisis and the detrimental role played by remuneration practices, an important reform concerned bank remuneration committees, especially in “significant financial institutions”. In light of this consideration, this paper aims to investigate the scope and...
Persistent link: https://www.econbiz.de/10010815040
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Implementing CRD for investment firms: challenges for Malta
Buttigieg, Christopher P. - In: Journal of Financial Regulation and Compliance 20 (2012) 4, pp. 417-432
, particularly small and medium-sized firms, within the scope of regulation, the main purpose of which is to address systemic risk …, may result in over-regulation. …
Persistent link: https://www.econbiz.de/10010815044
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Reputation risk management in financial firms: protecting (some) small investors
Saleuddin, Rasheed - In: Journal of Financial Regulation and Compliance 22 (2014), pp. 286-299
on self-regulation and reputational risk management to a detailed investigation of the marketing of financial products to … disclosures. Research limitations/implications - The research contributes to our understanding of self-regulation in financial …
Persistent link: https://www.econbiz.de/10010961752
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Financial services education: An Irish perspective
Brophy, Richard - In: Journal of Financial Regulation and Compliance 22 (2014), pp. 78-95
Purpose – The purpose of this paper is to chart the development of financial services education from its origins in the insurance industry to the current offering for people who wish to work in the life and non-life insurance industry. Financial services education within Ireland has evolved...
Persistent link: https://www.econbiz.de/10010795435
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A practitioner's guide to mortgage regulation
Cummings, Chris - In: Journal of Financial Regulation and Compliance 16 (2008) February, pp. 93-107
Purpose – The purpose of this paper is to provide a practitioner's guide to mortgage regulation. Design …/methodology/approach – The paper explores the mortgage code and the road to statutory regulation. Findings – It was found that the future of … mortgage regulation rests partly with those policy makers who decide that change is needed and partly with those who work in …
Persistent link: https://www.econbiz.de/10004987519