Similar Search Results

SEC proposes enhancements to Regulation S‐P

Callcott, Hardy; Marshall‐Smith, Gail - In: Journal of Investment Compliance 9 (2008) 2, pp. 55-59

Purpose – The purpose of this paper is to explain the SEC's proposed amendments to Regulation S‐P to enhance the … proposed more detailed standards for responding to data security breaches; and a proposed exception to Regulation S‐P for …

Persistent link: https://www.econbiz.de/10014893265

SEC approves FINRA rule governing sales practices of deferred variable annuities

Puretz, Jeffrey S.; Zacharski, Anthony H.; Rosenblat, Alan - In: Journal of Investment Compliance 9 (2008) 2, pp. 60-64

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;...

Persistent link: https://www.econbiz.de/10014893266

Summary of selected FINRA Regulatory Notices and Disciplinary Actions: January‐March 2008

Davis, Henry A. - In: Journal of Investment Compliance 9 (2008) 2, pp. 65-79

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...

Persistent link: https://www.econbiz.de/10014893267

US DOL regulations may challenge private investment funds

Carleen, Donald P.; Ross, Jeffrey - In: Journal of Investment Compliance 9 (2008) 3, pp. 5-14

Purpose – The purpose of this paper is to analyze recent regulations and proposed regulations issued by the US Department of Labor (DOL) that relate to the reporting of compensation paid to service providers to employee benefit plans. Design/methodology/approach – The paper reviews the...

Persistent link: https://www.econbiz.de/10014893268

Treasury department's proposed overhaul of the financial regulatory structure: a look at the blueprint and a look ahead

Becker, Brandon; Derbes, Elizabeth K.; Bruemmer, Russell J. - In: Journal of Investment Compliance 9 (2008) 3, pp. 29-40

‐based” regulatory approach in which three primary regulators would be established to focus individually on market stability regulation …, prudential financial regulation and business conduct; three types of charters for financial institutions: federal insured …

Persistent link: https://www.econbiz.de/10014893272

SEC publishes proposed rule to modify oil and gas reporting requirements

Goldstein, Joseph I.; Morse, Adriaen M. - In: Journal of Investment Compliance 9 (2008) 3, pp. 41-43

requirements that have been defined heretofore in Rule 4‐10, Regulation S‐X. Design/methodology/approach – The paper explains the …

Persistent link: https://www.econbiz.de/10014893273

PRC domestic fund management companies may now establish operations in Hong Kong

Teu, Vivien - In: Journal of Investment Compliance 9 (2008) 3, pp. 49-51

Securities Investment Fund Management Companies, issued pursuant to Supplement 4 to the Closer Economic Partnership Arrangement …, under which PRC domestic fund management companies specifically approved by the China Securities Regulatory Commission may … management companies after they have established HK operations, and discusses applicability of the rules to equity participations …

Persistent link: https://www.econbiz.de/10014893275

Summary of selected FINRA Regulatory Notices and disciplinary actions, April‐June 2008

Davis, Henry A. - In: Journal of Investment Compliance 9 (2008) 3, pp. 52-74

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...

Persistent link: https://www.econbiz.de/10014893276

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

SEC proposes guidelines for directors overseeing mutual fund portfolio trading

Strench, Bibb L. - In: Journal of Investment Compliance 9 (2008) 4, pp. 27-32

Purpose – This paper aims to provide an update on the mutual fund industry about new brokerage review responsibilities for directors of mutual funds. Design/methodology/approach – The paper carefully reviews the SEC release proposing the Guidelines, including the appendices to the Release....

Persistent link: https://www.econbiz.de/10014893281