...Tom Loonen Purpose The Markets in Financial Instruments Directive (MiFID) II directive was enforced in the EU in January 2018. While EU-member states implemented this directive in their national legislation, investment firms are still enforcing compliance. With the purpose of “investor protection...

... to credit (Skeel and Partnoy, 2007 ; Scheerer, 2007 ; Cerulus, 2012). © Emerald Group Publishing Limited 2013 Derivative markets Legislation Financial regulation Governance United States of America Dodd‐Frank Meta‐regulation Self‐governance In the aftermath of the 2008...

...James F. Gilsinan; Neil Seitz; James Fisher; Muhammad Q. Islam; James Millar Purpose The purpose of this paper is to examine the legislative process, in order to determine the likely effectiveness of financial reform efforts in the USA. Design/methodology/approach Case study of the legislative...

...Wen Li Chan; Hsin‐Vonn Seow Purpose Achieving equal treatment of credit applicants has been a legitimate concern of legislators and the credit industry. However, measures taken to date in attempting to comply with anti‐discrimination laws arguably do not allow for the most effective use of credit...

.... Originality/value This paper is first of its kind to propose the use of “design” in order to improve the AML/CTF compliance indices. Larger financial institutions have resources and a history of exposure to anti‐money laundering legislation (Drummond, 2009), leading criminals to consider small businesses...

... jurisdiction and its offshore development. Focussing on the period 1982‐2010, it discusses the three separate bank collapses and insular regulatory and legislative responses. The focal point of the paper is a critical evaluation of the new Isle of Man DCS including comparisons where appropriate with deposit...

... to central clearing in the EU and US regulatory initiatives. Finally, the paper is concluded with an evaluation of both legislations in the light of all previous analyses. Findings The research first shows that central clearing regulations rely on a series of presumptions, both concerning the gravity...

.... Originality/value This is believed to be the first empirical study on bank‐specific factors associated with AA lending under the CRA. Drew Dahl can be contacted at: drew.dahl@usu.edu © Emerald Group Publishing Limited 2010 United States of America Banks Loans Legislation...

... Financial services Legislation Date of Judgment: 11 February 2010 The court in these proceedings had to decide certain preliminary issues of law arising out of a mis‐selling claim brought against Royal Bank of Scotland Plc (hereafter “the Bank”) by Titan Steel Wheels Ltd (hereafter “Titan...

.... Legislation establishing Guernsey's deposit protection scheme is described and critically evaluated. Findings Guernsey's scheme is a rushed legislative reaction dominated by finance centre reputational concerns. The legislation is clear and comprehensive but the long‐term robustness of its funding model...

... be contacted at: joanna.gray@ncl.ac.uk © Emerald Group Publishing Limited 2009 United Kingdom Legislation Financial services Regulation Solicitors (Financial Services Authority v. Fox Hayes: Court of Appeal (civil division): Lord Justice Longmore, Lord Justice Wilson, Lord...

... examines the nature of the shareholders' rights and the legal protection afforded to them. In the European context, the relevant sources of law are the European Convention on Human Rights and the applicable community legislation. It considers different options for resolution within this framework ranging...

... regulators in the USA legislative changes regarded as “deregulation” also require a sympathetic and supportive administration to be realized. Originality/value The paper offers insights into how increased enforcement can offset statutory deregulation, focusing on the case of the Community Reinvestment...

... such as implementation and enforcement (Levels 3 and 4 of the Lamfalussy process), significant progress has been made in implementing the proposals contained in the original Lamfalussy Report. Preparation of EU legislation affecting securities markets is now more transparent, with better involvement of external...

...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...