Table of contents
REGULATION AND INSOLVENT BANKS
ANDREW WILKINSON, DERMOT TURINGBank regulation tends to develop as a reaction to bank insolvencies. Much of the detail of regulatory measures, comprising EU Directives, statute and guidance from the Bank of…
STRUCTURING POOLED FUNDS TO INCLUDE US INSTITUTIONAL INVESTORS
GEOFFREY R.T. KENYON, PETER MARSHALLPooled investment funds are an extremely important component of the institutional investment management business, serving as a critical tool for achieving diversification and…
STATE AID AND BANKING ACTIVITIES: THE IMPACT OF EUROPEAN COMMUNITY LAW
MARC DASSESSEThe purpose of the present paper is not to review the rules applicable whenever a member state wishes, in a straightforward manner, to grant financial aid to a credit institution…
US CFTC ISSUES ADVISORY APPLICABLE TO CPOS OF OFFSHORE COMMODITY POOLS
M. HOLLAND WEST, DIANE M. DICKENSHEIDThis paper first generally describes the requirements under US federal law to register as a commodity pool operator (CPO), and the disclosure, reporting and record keeping…
THE DISCLOSURE REGIME FOR UNIT TRUSTS AND OTHER NON‐LIFE PRODUCTS
COLIN HAWTINIn July 1994, following a lengthy development period, new rules were announced for the disclosure of information in the case of life and pensions products. The new rules, which…
THE DYNAMICS OF INTERNATIONAL BANK REGULATION
ATUL K. SHAHFor many years, the banking industry has required close supervision owing to its central yet delicate role in economic life. In a short time, the business has moved from a local…
THE BROKER‐DEALER EXAMINATION PROGRAMME OF THE SEC
MARY ANN GADZIALAThe examination of broker‐dealers is an integral part of the United States Securities and Exchange commission's overall responsibility to enforce securities laws, protect…
RESTRICTION ON AGENT'S RENEWAL COMMISSION: AN UNREASONABLE RESTRAINT OF TRADE MARSHALL v N.M. FINANCIAL MANAGEMENT LTD.: (HIGH COURT CHANCERY DIVISION) JONATHAN SUMPTION QC SITTING AS DEPUTY HIGH COURT JUDGE
The Plaintiff, a self‐employed sales agent, was engaged on 21st November, 1980 by the Defendant, a financial services company selling life assurance and pension policies. The…
REGULATORY UPDATE
Annual Report 1995—1996 The Securities and Investments Board (SIB) has published its Annual Report for the period 1st April, 1995, to 31st March, 1996. It contains a review of…
ISSN:
1358-1988Online date, start – end:
1992Copyright Holder:
Emerald Publishing LimitedOpen Access:
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- Prof John Ashton