...Daniel Godfrey The paper is about HM Treasury’s consultation on the future of investment trusts regulation. The consultation follows the Treasury Select Committee’s recommendation in 2003 that investment trusts should be regulated by FSA following the collapse of a number of split capital...

...Jonathan Edwards; Simon Wolfe Compliance is key to the operation and reputation of the financial services sector and is now completely embedded in the way financial services organisations carry on investment business. It is also fundamental to the Financial Services Authority (FSA) in seeking...

...Philip Robinson Recently the FSA made a commitment, in one of its four big investment priorities, to improve its business capability and effectiveness. A substantial part of that priority was to make the FSA “easier to do business with” from the point of view of both firms and consumers. This paper...

...Sam Stewart What does the Financial Services Authority (FSA) mean by risk‐based regulation and why have it? If the regulator adopts such an approach, how should the firms it regulates react? This paper outlines the risk‐based approach taken in the UK by the FSA and outlines strategies to cope...

... in the UK. The FSA itself faces a major extension of its powers in the near future and, at the same time, has to complete the transformation programme it began in 1998. © Emerald Group Publishing Limited 2004 FSA Banks Insurance ARROW Mis‐selling Education Journal of Financial Regulation...

... system. Incoherent and excessive regulation can diminish individuals’ and firms’ ability to comprehend these principles and apply them in everyday judgments. A culture of dependency can result. Increased regulation of an undirected kind could indeed make matters worse. Regulation FSA Business ethics...

...David Bland This piece critically reviews the potential impact of the FSA’s application of its ‘Operational Risk’ approach to regulation. It uses the Treasury proposals for ‘Sandler’ products as an example of the disastrous results that can arise from the combination of political direction...

.... It recognises the importance of the introduction of competence within the financial sector and especially the role of the training and competence scheme for individuals, introduced after the Financial Services Act 1986. It considers the Financial Services Authority’s (FSA’s) more expansive interpretation...

...Antony Whitehouse © Emerald Group Publishing Limited 2003 Money laundering Legislation Proceeds of crime MLAC JMLSG FSA Journal of Financial Regulation and Compliance Volume 11 Number 2 A brave new world: The impact of domestic and international regulation on money laundering...

...Philip Ryley; John Virgo © Emerald Group Publishing Limited 2003 Mortgage regulation FSA Lender Intermediary Journal of Financial Regulation and Compliance Volume 11 Number 2 Papers A brief guide to the current proposals for mortgage regulation in the UK Philip Ryley* and John...