Purpose – The aim is to explain certain disclosure and other obligations of municipal securities dealers when they act as underwriters to municipal securities issuers, as contained in a Municipal Securities Rulemaking Board interpretive notice regarding MSRB Rule G‐17, approved by the...

Purpose – The paper aims to explain regulatory issues and considerations as to future regulatory changes that Chinese regulators may implement with regard to the Qualified Foreign Institutional Investor (QFII) regime. Design/methodology/approach – The paper describes: the regulators...

Purpose – The aim is to provide details of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued in March, April and May 2012. Design/methodology/approach – The paper provides Regulatory Notice 12‐17, April 2012, “Telemarketing: SEC...

Purpose – The purpose of this paper is to explain the US Department of Labor's final regulations under Section 408(b)(2) of ERISA, concerning the fact that information investment advisers to ERISA‐covered pension plans and private investment funds deemed to hold the “plan assets” of...

Purpose – The purpose of this paper is to highlight the importance of careful review and negotiation of confidentiality agreements in corporate transactions and to discuss certain issues that arose out of a recent confidentiality agreement. Design/methodology/approach – The paper explores...

Purpose – The purpose of this paper is to provide selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued in June, July, and August 2012. Design/methodology/approach – The paper provides FINRA Regulatory Notice 12‐29, Communications with...

Purpose – The purpose of this paper is to provide selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued in June, July, and August 2012. Design/methodology/approach – The paper provides FINRA Regulatory Notice 12‐40, SEC Approves New...

A number of large-scale transformations have shaped the economy, polity and society of India over the past quarter century. This book provides a detailed account of three that are of particular importance: the advent of liberal economic reform, the ascendance of Hindu cultural nationalism, and...

As Japan moves from a ""catch-up"" strategy to a post-developmental stage, it is changing its actions and reactions both in terms of international political economy and domestic policy issues. The current changes in Japan can best be understood as following a path toward ""permeable...