Journal of Financial Regulation and Compliance


Journal of Financial Regulation and Compliance publishes expert analyses, reviews and case studies, as well as applied research on major developments in financial regulation. Its objective is to provide an international forum for the publication of both peer-reviewed practitioner articles and double-blind refereed academic submissions, which are of direct relevance to regulators, policy makers and the financial services industry. All submissions conform to the highest standards of intellectual rigour.

The journal consistently publishes authoritative, intelligent articles and research of direct relevance both to banking supervisors and the regulated institutions, addressing:

  • what is happening...

  • why it's happening...

  • where it's happening...

  • to whom it's happening...

  • and how it impacts the work of compliance professionals

  • A wide variety of topics are discussed in the journal, including:

  • Developing the single market in financial services
  • Basel II proposals

  • Global stock market

  • Risk assessment and management

  • Training and competence

  • Competition law

  • Case law

  • Regulatory rule updates and guidelines

  • Pension reform

  • Fitness and propriety in financial services

  • Audit regulation

  • Regulation in emerging markets

  • Regulation of internet banking

  • Cross border regulation

  • Capital adequacy

  • Compliance costs and benefits

  • Key benefits

  • The Journal of Financial Regulation and Compliance has emerged as one of the leading and most authoritative journals on the regulation and law governing financial institutions.

    Access articles on the latest thinking, techniques and developments in regulation and compliance
    Compare ideas and experiences with like-minded finance professionals world-wide, through case studies of the problems they encountered and lessons learned.

    Unique attributes

    In addition to articles and case studies on the latest thinking and techniques in regulation and compliance, the journal features comment from Joanna Gray on important regulatory rule updates and significant case law developments. It also publishes regulatory bodies' discussion papers and book reviews of relevance to compliance personnel.

    With such distinguished past authors as Rt Hon Gordon Brown MP, Sir Howard Davies, M Guy Quaden and Mr Michael Foot - among many others - the Journal of Financial Regulation and Compliance provides authoritative, accessible and cutting-edge ideas to financial professionals across the globe.

    Print ISSN: 1358-1988