Individual and corporate compliance competence: An ethical approach

Journal of Financial Regulation and Compliance

Volumn 11, Issue 3, 2003, Pages 225-235

  Edwards, Jonathan ^a  

^a BOURNEMOUTH UNIVERSITY   (United Kingdom)

Author keywords

Competence; Compliance; Ethics; FSA; Partnership approach

Indexed keywords

EID: 33947210661     PISSN: 13581988     EISSN: 17400279     Source Type: Journal    
DOI: 10.1108/13581980310810534     Document Type: Article

References (35)

1. ‘Concise Oxford English Dictionary’ (1995) 9th edn, Oxford University Press, Oxford.
2. ‘Roget’s Thesaurus of English Words and Phrases’ (2000) Penguin, London.
3. Rider, B., Ferran, E., and Abrams, C. (1989) ‘Guide to the Financial Services Act 1986', CCH Editions Ltd, Bicester, p. 27.
4. Virgo, J. and Ryley, P. (2000) ‘Fitness and propriety in financial services in the 21st century’, Journal of Financial Regulation and Compliance, Vol. 8, No. 2, pp. 109-117.
5. In Blair, M. (2001) ‘Financial Services & Markets Act 2000', Blackstone Press, London, p. 166.
6. McDonald, O. (1990) ‘Report on training and competence in the financial services industry’, Securities and Investment Board, London.
7. Personal Investment Authority (1995) ‘Training and competence: Rules and guidance’, PIA, London.
8. Bowe, C. (1995) ‘Reality and regulation’, Money Marketing, 20th July, p. 22.
9. Personal Investment Authority (1995) ‘Training and competence, Consultative Paper No. 3', PIA, London.
10. FSA (1999) Consultation Paper 34, Training and Competence Sourcebook.
11. Jackman, D. (Head of Industry Training, FSA) FSA/PN/100/2000/31, July, 2000, www.fsa.gov.uk/pubs/press/2000/100 (Accessed 17/02/03).
12. FSA (2000) Consultation Paper 60, Training and Competence, July.
13. FSA (2000) Feedback Statement to CP60:Training and Competence Sourcebook, December.
14. Davies, H. (2000) ‘Training and competence, The need for greater professionalism amongst finance sector staff’, www.fsa.gov.uk/pubs/speeches/sp63. (Accessed 17/02/03).
15. Storer, G. and Rajan, A. (2002) ‘New mindsets and new skills: The strategic importance of continuous competence in emerging financial services business models’, Journal of Financial Regulation and Compliance, Vol. 10, No. 2, p. 106.
16. Bagge, J. (2000) ‘Senior management responsibilities under the new regulatory regime’, Journal of Financial Regulation and Compliance, Vol. 8, No. 3, pp. 201-209.
17. Coates, K. (2002) ‘Supervision of ownership and management’, Reform of the Regulatory Regime for Insurance Conference, City & Financial Conferences, 18th March, London.
18. Jackman, D. (2001) ‘Why comply?', Journal of Financial Regulation and Compliance, Vol. 9, No. 3, p. 213.
19. Jackman, D. (2001) ‘Business ethics, Values-led regulation’, Profile Books, London, p. 188.
20. FSA (2002) ‘An ethical framework for financial services’, Discussion Paper 18, October.
21. Paine, L. S. (1994) ‘Managing for organizational integrity’, Harvard Business Review, Vol. 72, No. 2, p. 106.
22. Black, J. (1997) ‘Rules and regulators’, Clarendon Press, Oxford.
23. Paine (1994) Harvard Business Review., p. 111.
24. Paine (1994) Harvard Business Review., p. 113.
25. Moon, C. and Bonny, C. (2001) ‘Business ethics, Attitudes and approaches’, Profile Books, London, pp. 22-37.
26. Andersen (1999) ‘Managing ethics and legal compliance: What works and what hurts?', California Management Review, Vol. 41, No. 2, Winter.
27. Andersen (1999) ‘Ethical concerns and reputation risk management, A study of leading UK companies’, Andersen, London.
28. Moon and Bonny (2001) Harvard Business Review., p. 37.
29. Newman, A. (1998) ‘Compliance: Making ethics work in financial services’, Financial Times Management, London, p. 98.
30. Wood, G. (2002) ‘A partnership model of corporate ethics’, Journal of Business Ethics, Vol. 40, No. 1, September (III), pp. 61-73.
31. Wood (2002) Journal of Business Ethics., p. 61.
32. Wood (2002) Journal of Business Ethics., p. 64.
33. Wood (2002) Journal of Business Ethics., p. 63.
34. Wood (2002) Journal of Business Ethics., p. 65.
35. Wood (2002) Journal of Business Ethics., p. 70. Page 235 Edwards