Narrow search
Showing 1 - 10 of 136
Cover Image
Sound policies and procedures: the basis of a sound compliance program
Wolosz, Linda - In: Journal of Investment Compliance 8 (2007) 4, pp. 7-11
Purpose – The purpose of this paper is to: emphasize the importance of sound policies and procedures to support a sound compliance program; define the relationships among rules, policies, and procedures; and recommend a detailed, step‐by‐step approach for implementing a strong rules,...
Persistent link: https://www.econbiz.de/10014893238
Cover Image
International initiatives in market regulation: the storm before the calm?
Grieve, Chuck; Gleeson, Simon; Crown, Simon - In: Journal of Investment Compliance 9 (2008) 4, pp. 5-8
regulators are taking to address those problems, and the likely direction of future regulation. Findings – More resource was put …
Persistent link: https://www.econbiz.de/10014893277
Cover Image
OTC derivatives: proposed legislative and regulatory efforts to impose a more rigid regulatory structure
Telpner, Joel; Piracci, Jamila - In: Journal of Investment Compliance 10 (2009) 3, pp. 26-33
arbitrage; and the danger that stringent regulation in the USA will drive OTC derivatives business offshore. Findings – Unlike …
Persistent link: https://www.econbiz.de/10014893308
Cover Image
Foreign IPOS by Russian issuers: new rules
Kartashkin, Alan; Kuleshov, Maxim; Sazykina, Yulia - In: Journal of Investment Compliance 11 (2010) 1, pp. 62-64
Purpose – The purpose of this paper is to explain new regulations for foreign securities offerings by Russian issuers. Design/methodology/approach – The paper explains existing restrictions for insurance of depositary receipts (DRs) by Russian issuers, details additional restrictions...
Persistent link: https://www.econbiz.de/10014893334
Cover Image
FINRA's sanctions in 2009: a sign of things to come?
Heilizer, Deborah G.; Rubin, Brian L.; Gillespie, Shanyn L. - In: Journal of Investment Compliance 11 (2010) 4, pp. 4-8
Purpose – The purpose of the paper is to summarize a review of all of FINRA's 2009 notices and releases to understand the areas in which FINRA has focused and to try to predict where FINRA may be going in the coming year. Design/methodology/approach – The paper summarizes fines, disciplinary...
Persistent link: https://www.econbiz.de/10014893354
Cover Image
US financial reform law: key changes for private fund managers under the US Investment Advisers Act and changes to certain investor eligibility qualifications
Holton, Thomas John; Raymond, Paul B.; Stefanak, Curtis - In: Journal of Investment Compliance 11 (2010) 4, pp. 9-18
using Regulation D. Findings – The Act will require many US and non‐US investment advisers and fund managers to register …
Persistent link: https://www.econbiz.de/10014893355
Cover Image
US Financial Reform Law: key changes for non‐US advisers and certain investors in hedge and private equity funds
Godfrey, Anne Marie; Holton, Thomas John; Raymond, Paul B. - In: Journal of Investment Compliance 11 (2010) 4, pp. 19-26
Purpose – The purpose of this paper is to to summarize Advisers Act registration implications for non‐US advisers that now rely on the “private adviser” exemption from Advisers Act registration and to summarize the principal changes affecting investors in funds managed by non‐US...
Persistent link: https://www.econbiz.de/10014893356
Cover Image
Enhanced protection of investors and other changes to securities regulations
Martin, David B.H.; Gay, Brandon K. - In: Journal of Investment Compliance 11 (2010) 4, pp. 27-36
enhancements to federal securities regulation contained in the Dodd‐Frank Wall Street Reform and Consumer Protection Act. Design … Act, including by directing the SEC to enact rules to disqualify “bad actors” from relying on Rule 506 of Regulation D and … relying on Rule 506 of Regulation D; adjustments to net worth requirements related to accredited investor status; rules on …
Persistent link: https://www.econbiz.de/10014893357
Cover Image
Dodd‐Frank beefs up SEC and CFTC enforcement
Bayless, David; Kornblau, David L. - In: Journal of Investment Compliance 11 (2010) 4, pp. 37-40
Purpose – The purpose of the paper is to summarize key provisions in the Dodd‐Frank Wall Street Reform and Consumer Protection Act Affecting SEC and CFTC Enforcement. Design/methodology/approach – The paper summarizes provisions on new SEC causes of action, including greater power to bring...
Persistent link: https://www.econbiz.de/10014893358
Cover Image
FinCEN and regulators issue joint guidance on obtaining beneficial ownership information, potentially expanding certain financial institutions' USA PATRIOT Act obligations
Santangelo, Betty; Stokes, Amber - In: Journal of Investment Compliance 11 (2010) 4, pp. 45-50
Purpose – The purpose of this paper is to describe guidance (“the Guidance”) issued by the Financial Crimes Enforcement Network (“FinCEN”), the Federal Banking Regulators and the Securities and Exchange Commission on obtaining beneficial ownership information for certain accounts and...
Persistent link: https://www.econbiz.de/10014893360