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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

FSA challenge in Court of Appeal to finding of Financial Services and Markets Tribunal on question of whether solicitors' firm had contravened financial promotion regime

Gray, Joanna - In: Journal of Financial Regulation and Compliance 17 (2009) July, pp. 349-356

Purpose – The purpose of this paper is to look at a recent Financial Services Authority (FSA) challenge in the Court of Appeal to finding of Financial Services and Markets Tribunal on question of whether solicitors' firm had contravened financial promotion regime (FSA v. Fox Hayes: Court of...

Persistent link: https://www.econbiz.de/10004987621

The Lamfalussy process four years on

Schaub, Alexander - In: Journal of Financial Regulation and Compliance 13 (2005) May, pp. 110-120

legislation affecting securities markets is now more transparent, with better involvement of external stakeholders and enhanced … improvement in the quality of legislation and an acceleration of the legislative process. The use of implementing measures will … make it easier and faster to adapt Community legislation in the future. The process is also encouraging regulatory and …

Persistent link: https://www.econbiz.de/10004987623

A brave new world: The impact of domestic and international regulation on money laundering prevention in the UK

Whitehouse, Antony - In: Journal of Financial Regulation and Compliance 11 (2003) 2, pp. 138-145

Persistent link: https://www.econbiz.de/10014869938

The Lamfalussy process four years on

Schaub, Alexander - In: Journal of Financial Regulation and Compliance 13 (2005) 2, pp. 110-120

Persistent link: https://www.econbiz.de/10014869987

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) 3, 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/10014870069

Special bank resolution and shareholders' rights: balancing competing interests

Hüpkes, Eva - In: Journal of Financial Regulation and Compliance 17 (2009) 3, 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/10014870136