Similar Search Results

The risk of being sued by those damaged by regulatory or enforcement action: over‐regulation of financial services?

Gully‐Hart, Paul - In: Journal of Financial Crime 12 (2005) 3, pp. 246-250

regulation. Concludes that, while greater regulation can be viewed as a reasonable price to pay for globalised financial services …, the over‐regulation of Swiss financial services needs to be rationalised. …

Persistent link: https://www.econbiz.de/10014865322

Disclosure and sharing of sensitive information: a US securities regulatory perspective

Rutledge, G. Philip - In: Journal of Financial Crime 13 (2006) 3, pp. 339-347

Purpose – The purpose of this paper is to examine from a US regulatory perspective various statues, rules and policies which affect how securities regulators in the US may disclose and share information. Design/methodology/approach – This paper identifies and examines specific federal and...

Persistent link: https://www.econbiz.de/10014865349

Disclosure and sharing of sensitive information

Murphy, Daniel - In: Journal of Financial Crime 13 (2006) 4, pp. 420-441

Purpose – Presentation on legal risks in business cooperation in a regulated sector in Canada. Design/methodology/approach – The paper reviews Canadian case law and privacy implications for businesses cooperating with regulators and the risk of such cooperation to the regulated scheme....

Persistent link: https://www.econbiz.de/10014865355

Challenges for regulating financial fraud in cyberspace

Fletcher, Nigel - In: Journal of Financial Crime 14 (2007) 2, pp. 190-207

. Findings – Finds that the introduction of internet specific regulation would be useful in combating cyberspace fraud …

Persistent link: https://www.econbiz.de/10014865375

Soft and hard strategies of regulating economic crime

Larsson, Paul - In: Journal of Financial Crime 14 (2007) 2, pp. 208-220

represent different approaches to regulation, from the use of soft and persuasive to more hard and coercive approaches. This … (personal, non‐personal or state), the political support of the regulation, the professional background of the staff and the … general aim of the regulation. Originality/value – The paper is opening up a new field of research in Norway. Few, if any have …

Persistent link: https://www.econbiz.de/10014865376

Insider trading in China: the case for the Chinese Securities Regulatory Commission

Cheng, Hongming - In: Journal of Financial Crime 15 (2008) 2, pp. 165-178

regulation, based upon administrative and judicial cases, face‐to‐face interviews with regulators, and policy documents. Findings … trading laws. A primary challenge in the insider trading regulation comes from the fact that most insider trading cases …/value – The paper will be of interest to researchers in the field of financial crime and securities regulation. Regulators, the …

Persistent link: https://www.econbiz.de/10014865401

Corporate financial crime: social diagnosis and treatment

Hansen, Laura L. - In: Journal of Financial Crime 16 (2009) 1, pp. 28-40

Purpose – The purpose of this viewpoint paper is to assist in finding solutions for the growing moral and social issues of financial crime plaguing corporations today. Design/methodology/approach – Methodology includes the synthesis of existing theories in economic sociology and criminology...

Persistent link: https://www.econbiz.de/10014865421

An analysis of the victims of occupational fraud: a Canadian perspective

Peltier‐Rivest, Dominic - In: Journal of Financial Crime 16 (2009) 1, pp. 60-66

Purpose – This paper aims to describe and explain characteristics of organizations that are victims of occupational fraud. Design/methodology/approach – This study is based on a 2006 occupational fraud web survey conducted in Canada by the Association of Certified Fraud Examiners (ACFE)....

Persistent link: https://www.econbiz.de/10014865423

Investor protection by securities regulators in the primary share markets in Australia and Bangladesh

Solaiman, S.M. - In: Journal of Financial Crime 16 (2009) 4, pp. 305-333

Purpose – The purpose of this paper is to discover the weaknesses of initial public offering (IPO) regulation in … with some selected issues relevant to the regulation primary share markets have been compared and contrasted. The level of … critically in this paper in discussing aspects of regulation. Findings – This paper finds that the IPO regulation in Bangladesh …

Persistent link: https://www.econbiz.de/10014865445

Handling conflicts of interest within financial innovation

Kattan, William; King, Wendy; Ramella, Marcelo - In: Journal of Financial Crime 16 (2009) 4, pp. 353-363

Purpose – The purpose of this paper is to describe the experience of a financial services regulator, the Bermuda Monetary Authority (BMA), in identifying and dealing with conflicts of interest in innovative financial markets and involving sophisticated counterparties....

Persistent link: https://www.econbiz.de/10014865448