Works matching DE "FINANCIAL Conduct Authority (Great Britain)"
Results: 63
公平待客原則與保險監理──以金融弱勢之保護為中心.
- Published in:
- Taiwan Law Review, 2023, n. 335, p. 24, doi. 10.53106/1025593133502
- By:
- Publication type:
- Article
Mapping an Investor Protection Framework for the Security Token Offering Market: A Comparative Analysis of UK and German Law .
- Published in:
- Taiwan Law Review, 2021, n. 316, p. 73, doi. 10.53106/1025593131604
- By:
- Publication type:
- Article
Financial Advice.
- Published in:
- Journal of Economic Literature, 2012, v. 50, n. 2, p. 494, doi. 10.1257/jel.50.2.494
- By:
- Publication type:
- Article
Imposition of a financial penalty on Sir Christopher Gent for unlawfully disclosure of inside information.
- Published in:
- Zeitschrift für Bankrecht und Bankwirtschaft, 2022, v. 34, n. 6, p. 377, doi. 10.15375/zbb-2022-0607
- Publication type:
- Article
Beteiligung von Analysten und Erstellung von Research-Berichten im Rahmen von Börsengängen im Spannungsfeld von Regulierung und Markterwartungen.
- Published in:
- Zeitschrift für Bankrecht und Bankwirtschaft, 2020, v. 32, n. 3, p. 141, doi. 10.15375/zbb-2020-0303
- By:
- Publication type:
- Article
BLI Speedread.
- Published in:
- Business Law International, 2023, v. 24, n. 2, p. 101
- Publication type:
- Article
Unnecessary and Insufficient Factual Causes.
- Published in:
- Journal of Tort Law, 2023, v. 16, n. 2, p. 351, doi. 10.1515/jtl-2023-0030
- By:
- Publication type:
- Article
Will Listing Rule Reform Deliver Strong Public Markets for the UK?
- Published in:
- Modern Law Review, 2023, v. 86, n. 1, p. 176, doi. 10.1111/1468-2230.12758
- By:
- Publication type:
- Article
Fiduciary Duty under the Microscope: Stewardship and the Spectrum of Pension Fund Engagement.
- Published in:
- Modern Law Review, 2019, v. 82, n. 3, p. 456, doi. 10.1111/1468-2230.12413
- By:
- Publication type:
- Article
Evaluating Default Risk and Loan Performance in UK Peer-to-Peer Lending: Evidence from Funding Circle.
- Published in:
- Journal of Advanced Computational Intelligence & Intelligent Informatics, 2021, v. 25, n. 5, p. 530, doi. 10.20965/jaciii.2021.p0530
- By:
- Publication type:
- Article
Comprehensive Alternative Investment Education Supports Effective Regulation and Legislation.
- Published in:
- Journal of Alternative Investments, 2013, v. 16, n. 2, p. 107
- By:
- Publication type:
- Article
Stakeholder Conceptions of Later-Life Consumer Vulnerability in the Financial Services Industry: Beyond Financial Capability?
- Published in:
- Journal of Consumer Policy, 2018, v. 41, n. 3, p. 273, doi. 10.1007/s10603-018-9375-2
- By:
- Publication type:
- Article
The UK New Regulatory Framework of High-Cost Short-Term Credit: Is There a Shift Towards a More 'Law and Society' Based Approach?
- Published in:
- Journal of Consumer Policy, 2017, v. 40, n. 3, p. 321, doi. 10.1007/s10603-017-9350-3
- By:
- Publication type:
- Article
Achieving Safety and Affordability in the UK Payday Loans Market.
- Published in:
- Journal of Consumer Policy, 2015, v. 38, n. 2, p. 181, doi. 10.1007/s10603-015-9288-2
- By:
- Publication type:
- Article
High-Frequency Trading and the Execution Costs of Institutional Investors.
- Published in:
- Financial Review, 2014, v. 49, n. 2, p. 345, doi. 10.1111/fire.12039
- By:
- Publication type:
- Article
Will New Regulation on Crowdfunding in the United Kingdom and United States Have a Positive Impact and Lead to Crowdfunding Becoming an Established Financing Technique?
- Published in:
- Statute Law Review, 2016, v. 37, n. 1, p. 57, doi. 10.1093/slr/hmv026
- By:
- Publication type:
- Article
Banking Reform Struggles On.
- Published in:
- Statute Law Review, 2015, v. 36, n. 2, p. 123, doi. 10.1093/slr/hmu038
- By:
- Publication type:
- Article
How Can Competition Agencies Use Behavioral Economics?
- Published in:
- Antitrust Bulletin, 2014, v. 59, n. 4, p. 695, doi. 10.1177/0003603X1405900402
- By:
- Publication type:
- Article
Regulating Innovation through Digital Platforms: The Sandbox Tool.
- Published in:
- European Company & Financial Law Review, 2022, v. 19, n. 5, p. 828, doi. 10.1515/ecfr-2022-0029
- By:
- Publication type:
- Article
Life on debt row: RSPH calls for changes to UK credit landscape.
- Published in:
- 2018
- Publication type:
- journal article
Considerations for the beginning of the end of LIBOR.
- Published in:
- Law & Financial Markets Review, 2017, v. 11, n. 2/3, p. 105, doi. 10.1080/17521440.2017.1375210
- By:
- Publication type:
- Article
Good culture: what does it look like and how do you get there?
- Published in:
- Law & Financial Markets Review, 2016, v. 10, n. 2, p. 69, doi. 10.1080/17521440.2015.1084557
- By:
- Publication type:
- Article
The limits of investigation: the New City Agenda and the old City approach.
- Published in:
- 2014
- By:
- Publication type:
- Editorial
Financial regulatory developments.
- Published in:
- Law & Financial Markets Review, 2014, v. 8, n. 1, p. 78, doi. 10.5235/17521440.8.1.78
- Publication type:
- Article
Financial regulatory developments.
- Published in:
- Law & Financial Markets Review, 2013, v. 7, n. 6, p. 323, doi. 10.5235/17521440.7.6.323
- Publication type:
- Article
Is it time for firms to reconsider their approach to settling enforcement action?
- Published in:
- Law & Financial Markets Review, 2013, v. 7, n. 6, p. 301, doi. 10.5235/17521440.7.6.301
- By:
- Publication type:
- Article
Enforcement ratchets up.
- Published in:
- 2013
- By:
- Publication type:
- Editorial
Editorial.
- Published in:
- Law & Financial Markets Review, 2013, v. 7, n. 5, p. 233, doi. 10.5235/17521440.7.5.233
- By:
- Publication type:
- Article
Product regulation and governance.
- Published in:
- 2013
- By:
- Publication type:
- Editorial
Financial regulatory developments.
- Published in:
- Law & Financial Markets Review, 2013, v. 7, n. 1, p. 57, doi. 10.5235/LFMR7.1.57
- Publication type:
- Article
Financial regulatory developments.
- Published in:
- Law & Financial Markets Review, 2012, v. 6, n. 6, p. 429, doi. 10.5235/LFMR6.6.429
- Publication type:
- Article
Effective oversight of outsourced functions in the financial industry.
- Published in:
- Journal of Securities Operations & Custody, 2021, v. 14, n. 1, p. 6, doi. 10.69554/ldbo3649
- By:
- Publication type:
- Article
Connecting Senior Managers and Certification Regime requirements with operational risk.
- Published in:
- Journal of Securities Operations & Custody, 2020, v. 12, n. 3, p. 207, doi. 10.69554/cxuu7774
- By:
- Publication type:
- Article
How effective data management and automation can improve operational efficiency in onboarding and know your customer.
- Published in:
- Journal of Securities Operations & Custody, 2019, v. 11, n. 4, p. 337, doi. 10.69554/tean6066
- By:
- Publication type:
- Article
The challenges of complying with the FC's client assets regime.
- Published in:
- Journal of Securities Operations & Custody, 2016, v. 8, n. 2, p. 157, doi. 10.69554/uzhe6726
- By:
- Publication type:
- Article
Funding of research under MiFID II.
- Published in:
- Journal of Securities Operations & Custody, 2015, v. 7, n. 4, p. 355, doi. 10.69554/czgu5254
- By:
- Publication type:
- Article
The evolution of EEA transaction reporting.
- Published in:
- Journal of Securities Operations & Custody, 2015, v. 7, n. 4, p. 319, doi. 10.69554/kbbf6881
- By:
- Publication type:
- Article
Chasing shadows? The FCA and the measurement of 'culture'.
- Published in:
- Journal of Securities Operations & Custody, 2014, v. 7, n. 2, p. 128
- By:
- Publication type:
- Article
Strategic risk management: The failure of HBOS and its regulators.
- Published in:
- Journal of Risk Management in Financial Institutions, 2016, v. 9, n. 2, p. 147, doi. 10.69554/mioe5907
- By:
- Publication type:
- Article
Editorial A question of conduct.
- Published in:
- 2013
- By:
- Publication type:
- Editorial
Regulatory enforcement against organizational insiders: Interactions in the pursuit of individual accountability.
- Published in:
- Regulation & Governance, 2021, v. 15, n. 2, p. 298, doi. 10.1111/rego.12280
- By:
- Publication type:
- Article
Coordinating digital regulation in the UK: is the digital regulation cooperation forum (DRCF) up to the task?
- Published in:
- International Review of Law, Computers & Technology, 2023, v. 37, n. 2, p. 128, doi. 10.1080/13600869.2023.2192566
- By:
- Publication type:
- Article
Fintech and the city: Sandbox 2.0 policy and regulatory reform proposals.
- Published in:
- International Review of Law, Computers & Technology, 2020, v. 34, n. 3, p. 277, doi. 10.1080/13600869.2018.1546542
- By:
- Publication type:
- Article
Locating credit and debt within an anti-poverty strategy for the UK.
- Published in:
- Journal of Poverty & Social Justice, 2015, v. 23, n. 3, p. 203, doi. 10.1332/175982715X14443317211950
- By:
- Publication type:
- Article
HIGHER EDUCATION: AN APPROPRIATE REALM TO IMPOSE FALSE CLAIMS ACT LIABILITY UNDER THE POST-FORMATION IMPLIED FALSE CERTIFICATION THEORY.
- Published in:
- University of Pittsburgh Law Review, 2016, v. 78, n. 2, p. 217, doi. 10.5195/lawreview.2016.453
- By:
- Publication type:
- Article
REDESIGNING WIDESPREAD INSURANCE COVERAGE DISPUTES: A CASE STUDY OF THE BRITISH AND AMERICAN APPROACHES TO PANDEMIC BUSINESS INTERRUPTION COVERAGE.
- Published in:
- DePaul Law Review, 2022, v. 71, n. 2, p. 427
- By:
- Publication type:
- Article
The UK and dual-class stock-lite – Is it really even better than the real thing?
- Published in:
- Theoretical Inquiries in Law, 2024, v. 25, n. 1, p. 77, doi. 10.1515/til-2024-0005
- By:
- Publication type:
- Article
Elimination of LIBOR.
- Published in:
- Review of Banking & Financial Law, 2017, v. 37, n. 1, p. 190
- Publication type:
- Article
Liquidity in the U.K. Corporate Bond Market: Evidence from Trade Data.
- Published in:
- Journal of Fixed Income, 2017, v. 26, n. 3, p. 49
- By:
- Publication type:
- Article
Insurance and financial stability.
- Published in:
- Bank of England Quarterly Bulletin, 2015, v. 55, n. 3, p. 242
- By:
- Publication type:
- Article