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SEC fines non-US entities for unregistered cross-border brokerage and advisory activities

Burns, James; Saunders, Kimberly Beattie - In: The journal of investment compliance 18 (2017) 1, pp. 75-77

Persistent link: https://www.econbiz.de/10011662162

Cross border master-feeder arrangements : SEC staff slightly expands utility of offshore feeders for global investment management firms, but tax and other challenges remain

Amorosi, Mark; Zornada, George; Gibson, Todd; Almquist, Joel - In: The journal of investment compliance 18 (2017) 3, pp. 16-20

Persistent link: https://www.econbiz.de/10011804732

Foreign investment, regulatory arbitrage, and the risk of U.S. banking organizations

Frame, W. Scott; Mihov, Atanas; Sanz, Leandro - 2016

This study investigates the implications of cross-country differences in banking regulation and supervision for the international subsidiary locations and risk of U.S. bank holding companies (BHCs). We find that U.S. BHCs are more likely to operate subsidiaries in countries with weaker...

Persistent link: https://www.econbiz.de/10011623274

The valuation impact of SEC enforcement actions on nontarget foreign firms

Silvers, Roger - In: Journal of accounting research 54 (2016) 1, pp. 187-233

Persistent link: https://www.econbiz.de/10011450987

Ongoing SEC Disclosures by Foreign Firms

Boone, Audra L. - 2020

We study how home-market reporting requirements and listing choices associate with ongoing SEC disclosures by foreign firms and the investor response. The SEC defers material event and interim financial disclosure obligations to foreign firms' home market regulator or exchange. We find a growing...

Persistent link: https://www.econbiz.de/10012856152