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New pension legislation will significantly change US pension and IRA investments
Gilbert, Richard A.; Lloyd Levin, Ian; Downie, Sarah - In: Journal of Investment Compliance 7 (2006) 3, pp. 25-31
Purpose – To describe how the Pension Protection Act of 2006 (the “Pension Act”) will affect the investment of plan assets subject to the Employee Retirement Income Security Act of 1974 (ERISA). Design/methodology/approach – Describes the redefinition of “plan assets” under the...
Persistent link: https://www.econbiz.de/10014893190
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Hedge fund regulation: current trends in the industry
Lukaj, Michael S.; Healy, Girard M. - In: Journal of Investment Compliance 8 (2007) 1, pp. 4-12
related sources. Findings – US regulation surrounding hedge funds is in a state of flux. Substantially more pension money … are staying so in the vast majority of cases. The consensus is that more regulation is likely; however, what form that … regulation will take is still unsettled at this point. Originality/value – Based on first‐hand experience working with hedge …
Persistent link: https://www.econbiz.de/10014893209
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ERISA for securities professionals: 2008 update
Matta, Richard K. - In: Journal of Investment Compliance 10 (2009) 1, pp. 4-34
Purpose – The purpose of this paper is to provide an overview of how the Employee Retirement Income Security Act (“ERISA”) of 1974, as amended , applies to securities professionals such as registered investment advisers, registered broker‐dealers and individual registered representatives...
Persistent link: https://www.econbiz.de/10014893290
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Strengthening corporate governance regulations
Proimos, Alex - In: Journal of Investment Compliance 6 (2005) 4, pp. 75-84
. Originality/value – Highlights the importance of effective corporate governance regulation in the prevention of future corporate …
Persistent link: https://www.econbiz.de/10014893177
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Regulation of market misconduct in the United Kingdom
Falkner, Robert; Gerty, Jon - In: Journal of Investment Compliance 6 (2005) 4, pp. 35-53
Purpose – To introduce and summarize the key features of market‐misconduct‐related offenses in the UK with a particular focus on insider dealing. Design/methodology/approach – Provides a detailed overview of: the market abuse regime of the UK's financial regulator, the Financial Services...
Persistent link: https://www.econbiz.de/10014893180
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The new supervisory rules regime: a practical look at areas of exposure for broker‐dealers and senior personnel
Hiler, Bruce; Kuczajda, Thomas; Rabie, Aseel - In: Journal of Investment Compliance 7 (2006) 1, pp. 34-42
Purpose – The purpose of this paper is to describe the exposure and the responsibilities of a broker‐dealer's senior management under NASD's and the NYSE's new rules, emphasizing a regular review of supervisory and compliance systems. Design/methodology/approach – Describes new rules,...
Persistent link: https://www.econbiz.de/10014893182
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The Investment Advisers Act: the need for clarity in the post‐Goldstein era
Wider, Jedd - In: Journal of Investment Compliance 7 (2006) 4, pp. 12-15
environment for hedge funds by an attorney who specializes in investment fund regulation.  …
Persistent link: https://www.econbiz.de/10014893202
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Draft amendments to the German Investment Act
Zeller, Sven - In: Journal of Investment Compliance 8 (2007) 2, pp. 52-57
Purpose – The purpose of this paper is to summarize recent draft amendments to the German Investment Act as reflected in the second Draft dated 2 April 2007. Design/methodology/approach – The paper summarizes proposed changes in regulations for investment companies and product‐related...
Persistent link: https://www.econbiz.de/10014893225
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Final Section 409A regulations and their effect on offshore hedge fund deferral arrangements
Shea Fries, Elizabeth; Scerbak, Adrienne A.; Tse, Marian A. - In: Journal of Investment Compliance 8 (2007) 3, pp. 60-63
Purpose – The purpose of this paper is to explain restrictions on nonqualified deferred compensation arrangements contained in Section 409A of the Internal Revenue Code. Design/methodology/approach – The study explains the background to Section 409A, how Section 409A applies to hedge funds,...
Persistent link: https://www.econbiz.de/10014893232
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China introduces margin trading and securities lending
Yang, TieCheng; Wang, Lucas - In: Journal of Investment Compliance 8 (2007) 3, pp. 64-70
Purpose – The aim of this paper is to explain the details of a trial program in China to introduce margin trading and securities lending. Design/methodology/approach – The paper describes eligibility requirements for securities companies and their clients; accounts for margin trading and...
Persistent link: https://www.econbiz.de/10014893233