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Journal of Financial Regulation & Compliance

中文名称：金融监管与合规杂志

ISSN：1358-1988
出版周期：

发文量：147

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1.Compliance risk in Italian banks: the results of a survey

机译：意大利银行的合规风险：调查结果
- 作者：Giuliana Birindelli;Paola Ferretti
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2008年第4期
- Banks;
- Financial control;
- Italy;
- Regulation;
- Risk management;
2.Politicians, central banks, and the shape of financial supervision architectures

机译：政治家，中央银行和金融监管架构的形式
- 作者：Lucia Dalla Pellegrina;Donato Masciandaro
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2008年第4期
- Central banks;
- Financial control;
- Government policy;
3.Product market competition, regulation and dividend payout policy of Malaysian banks

机译：马来西亚银行的产品市场竞争，法规和股息支付政策
- 作者：Rashid Ameer
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2008年第4期
- Banks;
- Dividends;
- Loans;
- Malaysia;
- Mathematical modelling;
4.High court rules customer who opted from private to intermediate customer status to have been contributorily negligent to his spread betting losses

机译：高等法院裁定，从私人客户转为中级客户身份的客户对其点差交易损失做出了重大疏忽
- 作者：Joanna Gray
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2008年第4期
- Betting;
- Financial services;
- Legal decisions;
5.Waste makes haste: Sarbanes-Oxley, competitiveness and the subprime crisis

机译：浪费催人：萨班斯法案，竞争力和次贷危机
- 作者：Donald Nordberg
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2008年第4期
- Capital markets;
- Competitive strategy;
- Corporate governance;
- Regulation;
- United States of America;
6.Court of appeal confirms decision that claim in relation to pension transfer and drawdown advice is time barred

机译：上诉法院确认有关养老金转移和提取建议的索赔被禁止的决定
- 作者：Joanna Gray
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2008年第4期
- Financial services;
- Legal decisions;
- Pensions;
7.Efficiency of authoritative disclosure recommendations: Evidence from IFRS transition disclosure in Finland

机译：权威性披露建议的效率：来自芬兰IFRS过渡披露的证据
- 作者：Antti Miihkinen
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2008年第4期
- Corporate governance;
- Disclosure;
- Regulation;
8.The impact of corporate fairness on the bank-SME relationship

机译：公司公平对银行与中小企业关系的影响
- 作者：Fatima Vegholm;Lars Silver
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2008年第4期
- Banks;
- Customer satisfaction;
- Regulation;
- Relationship marketing;
- Small to medium-sized enterprises;
9.Reforming governance and regulation of urban cooperative banks in India

机译：改革印度城市合作银行的治理和监管
- 作者：Mukul G. Asher
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第1期
- Banks;
- Co-operative organizations;
- Governance;
- India;
- Regulation;
10.“If in doubt count it out!”: a review of the AIT criminal trial

机译：“如果有疑问，请排除在外！”：对AIT刑事审判的评论
- 作者：Samantha Hatt;Richard Burger
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第1期
- Crimes;
- Financial reporting;
- Financial services;
11.An appraisal of the Pensions White Paper proposals

机译：养老金白皮书提案的评估
- 作者：Howard Flight
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第1期
- Pensions;
- Retirement;
- United Kingdom;
12.Do risk factors matter in the IPO valuation?

机译：风险因素对IPO估值有影响吗？
- 作者：Khaled Abdou;Mehmet F. Dicle
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第1期
- Financial risk;
- Internet;
- Pricing;
- Risk analysis;
13.Financial sector convergence and corporate governance

机译：金融部门融合与公司治理
- 作者：Andy Mullineux
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第1期
- Corporate governance;
- Economic convergence;
- Financial institutions;
14.Corporate governance in Germany

机译：德国的公司治理
- 作者：Rüdiger von Rosen
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第1期
- Corporate governance;
- Germany;
15.Deposit insurance and credit unions: an international perspective

机译：存款保险和信用合作社：国际视野
- 作者：Kevin M.G. Hannafin;Donal G. McKillop
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第1期
- Credit unions;
- Insurance;
- Northern Ireland;
16.Financial services and markets tribunal further clarifies scope of market abuse regime

机译：金融服务和市场法庭进一步明确了市场滥用制度的范围
- 作者：Joanna Gray
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第1期
- Legal disputes;
- Tribunals;
17.Financial services and markets tribunal clarifies both its own jurisdiction and the scope of market abuse

机译：金融服务和市场法庭明确了自己的管辖权和市场滥用范围
- 作者：Joanna Gray
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第1期
- Insider trading;
- Tribunals;
18.MiFID impact on investment managers

机译：MiFID对投资经理的影响
- 作者：Stéphane Janin
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第1期
- Financial management;
- Investment;
- Investment funds;
- Portfolio investment;
19.Internal audit function role in operational risk management

机译：内部审计职能在操作风险管理中的作用
- 作者：Ana Fernández-Laviada
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第2期
- Internal auditing;
- Risk management;
20.A risk-based approach to AML: A controversy between financial institutions and regulators

机译：基于风险的反洗钱方法：金融机构与监管机构之间的争议
- 作者：Jos de Wit
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第2期
- Financial institutions;
- Money laundering;
- Risk management;
21.Transparency proposals for European sovereign bond markets

机译：欧洲主权债券市场的透明度建议
- 作者：Peter G. Dunne
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第2期
- Bonds;
- Europe;
- Financial markets;
22.The Financial Ombudsman Service: not just an alternative to court

机译：金融监察员服务：不仅是法院的替代方案
- 作者：Walter Merricks
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第2期
- Civil law;
- Complaints;
- Dispute resolutions;
- Ombudsman;
- United Kingdom;
23.The discovery process in civil litigation and the restrictions on disclosure of Section 348 Financial Services and Markets Act 2000

机译：民事诉讼的发现程序和《 2000年金融服务和市场法》第348条的披露限制
- 作者：Joanna Gray
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第2期
- Legal decisions;
- Litigation;
- Tribunals;
24.Implementing AML/CFT measures that address the risks and not tick boxes

机译：实施AML / CFT措施以应对风险而不是打勾
- 作者：Marcus Killick;David Parody
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第2期
- Financing;
- Money laundering;
- Responsibilities;
- Risk assessment;
- Senior management;
- Terrorism;
25.Bank deregulation and acquisition activity: the cases of the US, Italy and Germany

机译：银行放松管制和收购活动：以美国，意大利和德国为例
- 作者：Jens Hagendorff;Michael Collins;Kevin Keasey
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第2期
- Acquisitions and mergers;
- Banks;
- Germany;
- Italy;
- United States of America;
26.Financial services and markets tribunal orders that costs of successful challenge to enforcement action for market abuse be paid by FSA

机译：金融服务和市场法庭命令，由FSA支付成功挑战市场滥用执法行动的费用
- 作者：Joanna Gray
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第2期
- Legal decisions;
- Litigation;
- Tribunals;
27.Mortality projections and unisex pricing of annuities in the UK

机译：英国的年金死亡率预测和中性定价
- 作者：Robert Hudson
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第2期
- Gender;
- Life expectancy;
- Pensions;
- United Kingdom;
28.Prevention of corruption – UK legislation and enforcement

机译：预防腐败–英国立法和执法
- 作者：George Brown
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第2期
- Corruption;
- Laws and legislation;
- United Kingdom;
29.The debate over the economic rationale for investor protection regulation: a critical appraisal

机译：有关投资者保护监管的经济原理的辩论：批判性评估
- 作者：Andromachi Georgosouli
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第3期
- Cost benefit analysis;
- Investors;
- Regulation;
30.Who pays for banking supervision? Principles and trends

机译：谁支付银行监管费用？原理与趋势
- 作者：Donato Masciandaro;Maria J. Nieto;Henriette Prast
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第3期
- Banking;
- Financial management;
- Governance;
31.Managing the competition risks of communication between competitors

机译：管理竞争对手之间沟通的竞争风险
- 作者：Fred Houwen
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第3期
- Competitors;
- Legal principles;
32.Dynamics and regulatory system of Indian financial markets: A dialectic view

机译：辩证法观点的印度金融市场动态和监管体系
- 作者：A.K. Sharma;Ashutosh Vashishtha
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第3期
- Financial markets;
- Financial reporting;
- India;
- Regulation;
33.How increased enforcement can offset statutory deregulation: The case of the Community Reinvestment Act

机译：加大执法力度可以抵消法定的放松管制：《社区再投资法》案
- 作者：Donald F. Vitaliano;Gregory P. Stella
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第3期
- Compliance cost;
- Legislation;
- United States of America;
34.A principled front in the war against market abuse

机译：反对市场滥用战争的原则战线
- 作者：Richard Burger
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第3期
- Crimes;
- Financial management;
- Insider trading;
35.At FSA's application High Court orders winding-up of UK partnership which facilitated offshore boiler room share sales to UK investors

机译：在FSA的申请中，高等法院下令结束与英国的合伙关系，这有利于向英国投资者出售海上锅炉房股份
- 作者：Joanna Gray
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第3期
- Legal decisions;
- Management consultancy;
36.Court of appeal ruling on discovery in civil litigation of regulatory information protected from disclosure by section 348 FSMA

机译：上诉法院裁定，在民事诉讼中发现监管信息受FSMA第348条保护免于披露
- 作者：Joanna Gray
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第3期
- Investment funds;
- Legal decisions;
37.Trends in Federal Reserve and Basel II A-IRB Bank governance

机译：美联储和巴塞尔协议A-IRB银行治理的趋势
- 作者：Elizabeth Webb
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第3期
- Banks;
- Boards of directors;
- Chief executives;
- Compensation;
38.Market abuse and the commodities markets

机译：市场滥用和商品市场
- 作者：Kyri Evagora;Gerald Licnachan
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第4期
- Financial markets;
- Financial risk;
- Regulation;
39.Navigating trans-atlantic deals: warranties, disclosure and material adverse change

机译：导航跨大西洋交易：担保，披露和重大不利变化
- 作者：John Phillips;Julian Runnicles;Jeffery Schwartz
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第4期
- Acquisitions and mergers;
- Disclosure;
- United Kingdom;
- United States of America;
- Warranties;
40.Credit default swap spread and succession events

机译：信用违约掉期利差和继任事件
- 作者：Halit Gonenc;Floris Schorer;Willem P.F. Appel
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第4期
- Credit management;
- Financial analysis;
- Risk management;
41.Watching the watch-dog

机译：看门狗
- 作者：Richard Burger;William Dodsworth
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第4期
- Auditing;
- Financial services;
- Management accountability;
- United Kingdom;
42.Bank accounting and bank value: harmonising (d)effects of a common accounting culture?

机译：银行会计和银行价值：协调通用会计文化的（d）影响？
- 作者：Ioannis Anagnostopoulos;Roger Buckland
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第4期
- Accounting;
- Financial services;
- Standards;
43.Characteristics of acquired firms: the case of the banking industry

机译：被收购公司的特征：银行业的情况
- 作者：Scott I. Meisel
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第4期
- Acquisitions and mergers;
- Banks;
- Financial services;
- Financial Services Act;
44.How IFRS has destabilised financial reporting for UK non-listed entities

机译：IFRS如何破坏英国非上市实体的财务报告
- 作者：Stella Fearnley;Tony Hines
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第4期
- Accounting standards;
- Regulation;
- Small to medium-sized enterprises;
45.Financial Ombudsman's statutory powers: Successful High Court challenge by financial adviser firms

机译：财务申诉专员的法定权力：财务顾问公司成功对高等法院提出的质疑
- 作者：Joanna Gray
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第4期
- Law courts;
- Legal disputes;
- Legal process;
46.Evidence on UK directors' compliance with disclosure timing regulations

机译：英国董事遵守披露时间规定的证据
- 作者：Brian Balmforth;Bruce M. Burton;Stuart R. Cross;David M. Power
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第4期
- Compliance costs;
- Directors;
- Disclosure;
- Financial reporting;
- Insider trading;
47.It's all in the data – consistent operational risk measurement and regulation

机译：全部包含在数据中–一致的操作风险衡量和法规
- 作者：Andreas A. Jobst
- 期刊名称：《Journal of Financial Regulation and Compliance》 | 2007年第4期
- Financial services;
- Regulation;
- Risk management;

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