Company Regulations in UK Law

  • Money-laundering: Martin Nimmo explains the position of trust and company service providers under the UK Money Laundering Regulations 2007.
    • Nbr. 2008, April 2008
    • Financial Management (UK)
    • Nimmo, Martin
    • Technical matters
    ...[ILLUSTRATION OMITTED] This is essential and urgent reading for interim managers, non-executive directors and company secretaries. Even if you do not recognise yourself as a trust and company service provider (TCSP), you should read the definition ......
  • You can quote us on that: a stock market flotation brings with it a whole raft of new responsibilities for a company's management team, but the technical regulations could turn out to be the least of its worries. Mike Brooks describes the oft-conflicting stakeholder interests that need to be considered before a business goes public.
    • Nbr. 2004, June 2004
    • Financial Management (UK)
    • Brooks, Mike
    • How To Manage Going Public
    ...In my two previous FM features--"Critical maths" (June) and "Uneasy money" (July/ August)--I explained ways to solve the funding problems of a growing business and the implications of bringing new shareholders into a firm previously owned by its foun......
  • OPEN‐ENDED INVESTMENT COMPANIES
    • Nbr. 3-4, April 1995
    • Journal of Financial Regulation and Compliance
    • 321-328
    The UK Government has recognised for some time that the UK fund management industry would welcome the availability of a new form of investment vehicle, namely an open‐ended investment company. HM T...
    ...... a new form of investment vehicle, namely an open-ended investment company. HM Treasury has recently issued draft regula-tions relating to the ... 1986 (FSA) and are subject to stringent product and pricing regulations. Investment trusts are listed closed-ended limited companies which raise a ......
  • Company labour flexibility strategies in The Netherlands: an institutional perspective
    • Nbr. 20-5, October 1998
    • Employee Relations
    • 461-482
    Despite important differences in labour flexibility patterns in different countries and despite clear indications of the important role of institutional factors with respect to HRM, to date there h...
    ......Institutional and power aspectslike legal and other regulations, the role of unions and employers’ organisations,the power relations on the labour market, etc. can indeed form a hindrance tostrategic HRM. But ......
  • Insurance regulations, risk and performance in Ghana
    • Nbr. 28-1, November 2019
    • Journal of Financial Regulation and Compliance
    • 74-96
    Purpose: This study aims to examine the hypothesis that the effect of insurer risks on profitability is conditional on regulation, using two main regulatory directives in the Ghanaian insurance mar...
    ...... of the above regulation, in whateverform, will attract a penaltyranging from fines to the revocation of the operating license of the company broker orinsurance company. Consumers benefit greatly from regulatory compliance by all partiesinvolved, as the political obligations or benefits ......
  • Risk‐based compliance monitoring
    • Nbr. 7-1, January 1999
    • Journal of Financial Regulation and Compliance
    • 22-26
    This paper sets out the fundamental generic concepts behind applying a risk‐based approach to monitoring compliance with PIA's regulations. It also looks at some of the practical considerations for...
    ......Every insurance company understands the concept of identifying and measuring risk for the purpose ... to risks the company faces in terms of com-pliance with PIA regulations. Each of the regulators is beginning to use risk assessments to focus ......
  • Exploring the case of The White Moustache. Entrepreneurship and regulatory capture in the milk products industry
    • Nbr. 6-1, April 2017
    • Journal of Entrepreneurship and Public Policy
    • 41-59
    Purpose: Small and emerging business failure rates are high for numerous reasons. Government regulation has been cited as a contributing factor, yet literature documenting the actual effects of gov...
    ......The case studytraces the burdens and costs of state dairy regulations placed on TWM as they sought the necessary permitsto sell their artisan ...,regulation caused two and a half years of delay before the company dec ided to leave the state. California’sdairy regulations plac e ......
  • Non-compliance of licence holders towards disclosure based regulation in Malaysian securities markets
    • Nbr. 23-3, July 2016
    • Journal of Financial Crime
    • 605-612
    Purpose: The purpose of this paper is to examine non-compliance of licence holders towards disclosure-based regulation in Malaysian securities markets in relation to the implementation of the discl...
    ...... also reported to occur due tolack of understanding of law and regulations, inefcient company’s surveillance, control and internalmonitoring ......
  • Jordanian, Kuwaiti and Omani securities regulation: Can they be the subject matter of a viable comparative study with EU securities regulation? (Part Two)
    • Nbr. 9-3, March 2001
    • Journal of Financial Regulation and Compliance
    • 253-273
    This is the second of two papers which examine the question of whether Arab securities regulations can be the subject matter of a methodological study in comparative securities regulation, especial...
    ......He has had contributions on Arab financial regulations published in numerous jour-nals. He has also commented on Middle Eastern ... securities regulations, the paper also surveys the securities and company laws in the aforemen-tioned countries. Such a discussion also includes a ......
  • Jordanian, Kuwaiti and Omani securities regulation: Can they be the subject matter of a viable comparative study with EU securities regulation? (Part One)
    • Nbr. 8-4, April 2000
    • Journal of Financial Regulation and Compliance
    • 349-357
    This is the first of two papers which examine whether Arab securities regulations can be the subject of a methodological study in comparative securities regulation, especially with reference to EU ...
    ...... the first of two papers which examine whether Arab securities regulations can be the subject of a methodological study in comparative securities ... regulations, it then moves to survey the securi-ties and company laws in the aforementioned countries. The discussion also includes a brief ......
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