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Keywords: Securities
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Journal Articles
Journal of Financial Regulation and Compliance (2016) 24 (3): 343–362.
Published: 11 July 2016
...Latif Cem Osken; Ceylan Onay; Gözde Unal Purpose This paper aims to analyze the dynamics of the security lending process and lending markets to identify the market-wide variables reflecting the characteristics of the stock borrowed and to measure the credit risk arising from lending contracts...
Journal Articles
Journal of Financial Regulation and Compliance (2011) 19 (3): 208–221.
Published: 26 July 2011
...Frank S. Perri; Richard G. Brody Purpose The purpose of this paper is to expose inefficient regulatory policies and organizational weaknesses at the Securities and Exchange Commission (SEC) that have contributed to a series of regulatory oversights that have produced some of the largest fraud...
Journal Articles
Journal of Financial Regulation and Compliance (2010) 18 (3): 243–256.
Published: 27 July 2010
... suppliers. Hence, retail banks are utilities and should be regulated as such. © Emerald Group Publishing Limited 2010 Securities Derivative markets Banks Regulation Innovation United Kingdom Financial innovation, as broadly defined to include both the introduction of brand new...
Journal Articles
Journal of Financial Regulation and Compliance (2006) 14 (2): 185–191.
Published: 01 April 2006
..., products, management, and markets in order to identify trends in these indicators of a private fund would be meaningless because in some cases there is no such information and in other cases the information is only meaningful as it relates to the underlying portfolio securities. It would not be “about...
Journal Articles
Journal of Financial Regulation and Compliance (2006) 14 (1): 29–36.
Published: 01 January 2006
... – a European electronic inter‐dealer system for the trading of fixed‐income securities, operated as local trading sectors by affiliated MTS companies in various European domestic markets. The futures market is primarily conducted on Eurex, the German exchange on which German federal government bonds are traded...
Journal Articles
Journal of Financial Regulation and Compliance (2006) 14 (1): 57–69.
Published: 01 January 2006
... arrangements. Originality/value This represents a starting‐point for Cypriot financial reform, which has up to press been only marginally considered. © Emerald Group Publishing Limited 2006 Financial control Banking Securities Insurance Cyprus The organization of financial...
Journal Articles
Journal of Financial Regulation and Compliance (2006) 14 (1): 47–56.
Published: 01 January 2006
...Juan Fernando Lucio Purpose The purpose of this essay is to formulate practical steps in establishing a market for government securities. When such a market does not exist two issues are of critical importance: establish the credibility of the issuer, and create the trading avenues. Design...
Journal Articles
Journal of Financial Regulation and Compliance (2005) 13 (2): 110–120.
Published: 01 June 2005
...Alexander Schaub The Lamfalussy process was implemented from early 2001, following the report of the Committee of Wise Men on the Regulation of European Securities Markets, chaired by Alexandre Lamfalussy. Four years on, this paper concludes that, while it is too early to assess progress in areas...

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