relevant SEC form requirements and guidance, a random sampling of Form ADV amendments filed on the IARD system between January …

new SEC disclosure and recordkeeping requirements.  …Purpose To alert investment advisers to changes to be implemented to the Securities and Exchange Commission’s (SEC …’s) Form ADV requirements as of October 1, 2017. Form ADV is the SEC’s principal investment adviser registration form. Design …

Exchange Commission (SEC) to the large trader identification requirements under Rule 13h‐1. Design … exemption issued by the SEC; and an overview of the permanent exemption adopted by the SEC for certain capital market … transactions in connection with determining whether a person is a large trader. Findings – The SEC extended the April 30, 2012 …

Purpose – This paper aims to critically examine the applicability of disclosure‐based regulation in a pre … usefulness of the disclosure philosophy making reference to some Asian securities markets with special reference to the … contemporary experiences of the Bangladesh securities market. Findings – The paper concludes that the disclosure philosophy itself …

balanced disclosure” and “respect the rights of shareholders,” are examined. Provides a case study of how the CEO of Aristocrat …, a poker machine manufacturer and operator, failed to offer timely and balanced disclosure and otherwise demonstrated …

Purpose – The purpose of this paper is to describe and compare the different ways in which the shareholder disclosure … that must comply with reporting requirements, disclosure/reporting thresholds, categories of direct and indirect … disclosure requirements in the UK, France, and Germany.  …

Purpose – The purpose of this paper is to discuss the SEC's Proposed Release 33‐8861 of November 21, 2007, “Enhanced … disclosure and new prospectus delivery option for registered open‐end management investment companies.” Design … provides an implementation timeline. Findings – The paper finds that the SEC has proposed a rule for a shorter, simpler …

Purpose – The purpose of this paper is to explain the FSA's new disclosure regime for short selling during rights … regime in terms of issuers and transactions covered, the applicability of the disclosure requirement to pre … means of disclosure, disclosure deadlines, the content of disclosures, and disclosure of changes in position; and indicates …

codes of ethics on its web site in lieu of filing it with the SEC, that information should be subject to the same disclosure … principles suggested in the SEC's guidance, each issuer should carefully review its disclosure policy and web site. Originality …Purpose – The purpose of this paper is to summarize and analyze SEC guidance to companies and issuers of securities on …