The banking and financial sector of the Arab Gulf region is characterized by deregulation, globalization, product innovation, developments in technology and increasing competition. This change has created the potential for gain but has also increased risk. After the oil and gas sector, the...

Purpose – The purpose of this article is to explore what the author believes to be some of the key challenges facing hedge fund managers that are preparing for registration with the Commission under the Investment Advisers Act of 1940 (“Advisers Act”). Design/methodology/approach –...

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...

Purpose – The purpose of this paper is to explain the risk of bad mutual fund data for a financial services firm that sells mutual funds and to recommend steps a firm can take to ensure the reliability of its mutual fund data. Design/methodology/approach – Explains problems caused by missing...

Purpose – The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices issued from October to December 2007 and a sample of disciplinary actions during that period. In July 2007, FINRA Regulatory Notices replaced NASD Notices...

Purpose – The purpose of this paper is to summarize and discuss FINRA Rule 2821, which covers broker‐dealer sales practices with respect to purchases and exchanges of deferred variable annuities. Design/methodology/approach – The paper describes the transactions to which the rule applies;...

Purpose – The purpose of this paper is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices issued from January to March 2008 and a sample of disciplinary actions during that period. In July 2007, FINRA Regulatory Notices replaced NASD Notices to...

Purpose – The purpose of this paper is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices issued from April to June 2008 and a sample of disciplinary actions during that period. Design/methodology/approach – The paper provides excerpts from...

Purpose – The purpose of this paper is to analyze causes and regulators' responses to the current international financial market crisis. Design/methodology/approach – The paper discusses warning signs of the crisis in world financial services markets, principal underlying problems that have...

Purpose – The purpose of this paper is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notes issued in July and August 2008. Design/methodology/approach – The paper provides excerpts from the June 2008 Supplement to the Options Disclosure Document;...