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Trading strategies of the US‐based international mutual funds and test of the SEC regulation

Imtiaz Mazumder, M.; Miller, Edward M.; Naka, Atsuyuki - In: Journal of Financial Regulation and Compliance 16 (2008) 2, pp. 142-158

. Further, trading strategies are proposed and tested under different scenario including a proposed regulation by the Security … under a recent SEC's proposed regulation. Further, possible contracting and regulatory changes are proposed to improve the … regulation documents that short‐term investors may benefit from active trading strategy even if the SEC's rule is implemented. …

Persistent link: https://www.econbiz.de/10014870098

Developing a financial services planning profession in the UK

Gaskell, John; Ashton, John - In: Journal of Financial Regulation and Compliance 16 (2008) 2, pp. 159-172

inhibited by the current regulatory system. Secondly, current regulation of financial services sales through a market mechanism … behaviour in retail financial services sales conflicts with the current model of regulation. Originality/value – This research … paper both reviews the wider arguments surrounding the regulation of retail financial services sales and forwards new …

Persistent link: https://www.econbiz.de/10014870099

Implementing Basel II: an investigation of the UAE banks' Basel II preparations

Hassan Al‐Tamimi, Hussein A. - In: Journal of Financial Regulation and Compliance 16 (2008) 2, pp. 173-187

Purpose – This study aims at exploring the UAE banks' Basel II preparations. It is essential for the UAE banks to make adequate preparations to ensure their compliance with international standards and practices in the field of banking. Design/methodology/approach – The author developed a...

Persistent link: https://www.econbiz.de/10014870100

Defined contribution pensions: dealing with the reluctant investor

Byrne, Alistair; Harrison, Debbie; Blake, David - In: Journal of Financial Regulation and Compliance 16 (2008) 3, pp. 206-219

Purpose – The purpose of this paper is to provide an overview of key issues in the governance of defined contribution pension schemes, with a focus on investment matters, and to recommend best practices. Design/methodology/approach – The paper draws on the results of an online survey of the...

Persistent link: https://www.econbiz.de/10014870103

Has regulation killed off the defined benefit scheme as a cost effective tool for human resource management?

Hudson, Robert - In: Journal of Financial Regulation and Compliance 16 (2008) 3, pp. 220-229

Purpose – The purpose of this paper is to investigate the effect of regulation on both the cost of defined benefit … and details how ongoing regulation has impinged on the use of DB schemes in this area. Findings – Many years of heavy … regulation have not only increased the costs of DB schemes but reduced their utility in the field of human resource management …

Persistent link: https://www.econbiz.de/10014870104

Compliance risk in Italian banks: the results of a survey

Birindelli, Giuliana; Ferretti, Paola - In: Journal of Financial Regulation and Compliance 16 (2008) 4, pp. 335-351

risk assessment implications. Findings – It is found that many survey participants are responding positively to regulation …

Persistent link: https://www.econbiz.de/10014870113

The impact of corporate fairness on the bank‐SME relationship

Vegholm, Fatima; Silver, Lars - In: Journal of Financial Regulation and Compliance 16 (2008) 4, pp. 352-364

Purpose – The United Kingdom Financial Services Authority's treating customers fairly initiative has drawn attention to a current trend that involves regulators using regulatory principles to enhance the relationship between financial institutions and customers. The term corporate fairness is...

Persistent link: https://www.econbiz.de/10014870114

Waste makes haste: Sarbanes‐Oxley, competitiveness and the subprime crisis

Nordberg, Donald - In: Journal of Financial Regulation and Compliance 16 (2008) 4, pp. 365-383

Purpose – The passage of the Sarbanes‐Oxley Act of 2002 followed hard on the collapses of Enron and WorldCom. Waste makes haste. Official reports for US government agencies worried that the legislation may have impaired New York's competitiveness as a venue for international capital...

Persistent link: https://www.econbiz.de/10014870115

Efficiency of authoritative disclosure recommendations

Miihkinen, Antti - In: Journal of Financial Regulation and Compliance 16 (2008) 4, pp. 384-413

regulation. Originality/value – This paper is the first to explore the efficiency of authoritative disclosure recommendations in …

Persistent link: https://www.econbiz.de/10014870116

Competition issues in European banking

Casu, Barbara; Girardone, Claudia - In: Journal of Financial Regulation and Compliance 17 (2009) 2, pp. 119-133

Purpose – The purpose of this paper is to assess the outcome of European Union (EU) deregulation and competition policies on the competitive conditions of the main EU banking markets. Design/methodology/approach – After a review of deregulation and competitition policies in the EU banking...

Persistent link: https://www.econbiz.de/10014870128