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Kingdom of Swaziland; Selected Issues and Statistical Appendix
International Monetary Fund (IMF); International … - 2008
This Selected Issues paper and Statistical Appendix for the Kingdom of Swaziland assesses the interaction of nonbank financial institutions (NBFIs) within the financial system and the real economy. Understanding the type of flows will help in designing policies to better manage capital flows and...
Persistent link: https://www.econbiz.de/10011244722
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Contingent Capital; Economic Rationale and Design Features
Pazarbasioglu, Ceyla; Zhou, Jian-Ping; Leslé, Vanessa Le; … - International Monetary Fund (IMF) - 2011
The causes of the global financial crisis were multi-faceted but revealed still unresolved weaknesses in national and international financial oversight and resolution frameworks. In particular, many governments in the crisis-hit countries had to provide unprecedented levels of support to contain...
Persistent link: https://www.econbiz.de/10011245888
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Mexico; Financial Sector Assessment Program Update: Technical Note: Derivatives Market: Overview and Potential Vulnerabilities
International Monetary Fund (IMF); International … - 2007
This technical note provides an overview of Mexico’s derivatives markets, and describes concisely the derivatives regulatory framework and risk management practices in financial institutions active in these markets. The most important derivatives market in Mexico is the over-the-counter...
Persistent link: https://www.econbiz.de/10011243042
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Hedge funds: The regulatory landscape at a crossroads
Wider, Jedd; Scanlan, Kevin - In: Journal of Investment Compliance 4 (2003) 1, pp. 7-12
Hedge funds increasingly are becoming a focus of investors and U.S. regulatory agencies including the U.S. Securities … dismal performance of U.S. stock market indices over the past several years, investors are turning to “absolute” return … laggard results. Investors’ ability to invest in hedge funds has been further enhanced by the increase of hedge funds …
Persistent link: https://www.econbiz.de/10014893054
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Preliminary steps to establishing research analyst independence
Winer, Samuel J.; Kroll, Amy N. - In: Journal of Investment Compliance 4 (2003) 1, pp. 13-17
On December 20, 2002, the Securities and Exchange Commission (“SEC”), the National Association of Securities Dealers (“NASD”), the New York Stock Exchange (“NYSE”), the New York Attorney General, and the North American Securities Administrators Association (“NASAA”) announced...
Persistent link: https://www.econbiz.de/10014893055
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Compliance in a multi‐regulatory environment
In: Journal of Investment Compliance 4 (2003) 1, pp. 18-21
The USA Patriot Act, Sarbanes‐Oxley, proxy voting disclosure, privacy regulations under Gramm‐Leach‐Bliley, fair valuation, hedge fund scrutiny, and the list goes on and on. Over the past two years, we have seen the Securities and Exchange Commission launch the most aggressive and...
Persistent link: https://www.econbiz.de/10014893056
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Complying with the SEC’s new proxy voting rules
Clarke, Kathleen K.; Miller, Paul M. - In: Journal of Investment Compliance 4 (2003) 1, pp. 22-25
In late January 2003, the Securities and Exchange Commission (SEC) adopted new rules for investment advisers under the Investment Advisers Act of 1940 (Advisers Act) requiring them to adopt and disclose to clients proxy voting policies and procedures. Concurrently, the SEC adopted new rules for...
Persistent link: https://www.econbiz.de/10014893057
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Private equity securities: A compliance update for broker‐dealers and investment advisers
Walsh, John H. - In: Journal of Investment Compliance 4 (2003) 1, pp. 26-32
attention and excitement resulted from the extraordinary market gains experienced by some investors in private equity securities … invested are down, and as one commentator put it, there has been an “exodus of momentum investors.” Nonetheless, private …
Persistent link: https://www.econbiz.de/10014893058
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The fair valuation mess
Freeman, David F. - In: Journal of Investment Compliance 4 (2003) 1, pp. 33-37
issue to investors, there is little uniformity of practice among funds, no generally accepted means to conduct fair …
Persistent link: https://www.econbiz.de/10014893059
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The new face of money laundering
Baldwin, Greg - In: Journal of Investment Compliance 4 (2003) 1, pp. 38-41
According to legend, the fall of Troy was accomplished by a clever ruse. After 10 years of unsuccessfully dashing themselves against the impregnable walls of Troy, the Greeks pretended to give up and sail away from the besieged City, leaving behind a giant, hollow wooden horse. The Trojans,...
Persistent link: https://www.econbiz.de/10014893060