Purpose – The purpose of this paper is to provide summaries of selected Financial Industry Regulatory Authority (FINRA) regulatory notices and disciplinary actions issued in October, November, and December 2011. Design/methodology/approach – The paper provides Regulatory Notice 11‐49,...

Purpose – This article aims to trace current developments in the treatment of the venture capital industry in the European Union (EU), including recently proposed legislation. Design/methodology/approach – This article provides an analysis of current EU venture capital industry trends by...

Purpose – The purpose of this paper is to review the principal provisions of the Jumpstart Our Business Startups (JOBS) Act, which was enacted in April 2012 and represents significant legislative reform of securities regulation in the USA. Design/methodology/approach – The paper examines the...

Purpose To analyze the changes to the FINRA equity research rules and evaluate concerns that may be important to and have an impact on equity research activities following the effective date. Design/methodology/approach This article provides an overview of the changes reflected in FINRA Rule...

Purpose To explain the impact for financial services firms of the UK’s vote to leave the European Union (EU) and to assess the possible options for conducting cross-border financial services between the UK and EU in the future. Key to this is the likely loss of the EU “passport” for...

Purpose – This research aims to investigate the moderating influence of both multichannel and multicompany usage on the impact that customer satisfaction has on share of wallet (SOW). Design/methodology/approach – The data used in the analyses were collected as part of both survey and...

Purpose – This study aims to provide the first longitudinal examination of the relationship between affective, calculative, normative commitment and customer loyalty by using longitudinal panel survey data. Design/methodology/approach – Repeated measures for 269 customers of a large...

Purpose – The purpose of this paper is to explore how financial services (FS) organizations manage the customer experience. It aims to establish what practices are used, to articulate the role of the FS context in influencing the choice of practices, and to identify how these practices support...

As the UK’s retail financial services sector discovers the value of retaining customers it is also becoming aware that product elimination has the potential to damage existing purchasing relationships. Unlike physical goods, where elimination is often undertaken with scant regard for the...

Purpose – Starting from the premise that there are critical issues that should drive brand success, this study seeks to investigate the way the UK retail banking industry has sought to build and sustain a strong brand by launching an internal marketing (IM) programme throughout its branch...