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Commodity Futures Trading Commission provides new streamlined process for commodity pool operators to request no-action relief for delegating certain activities to registered CPOs

Khuri, Walid; M. McLauglin, Robert; S. Mitchell, David; … - In: Journal of Investment Compliance 15 (2014) 3, pp. 41-46

Purpose – To provide an overview of a new, streamlined process from the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission (CFTC) by which a commodity pool operator (CPO) may request expedited no-action relief for failure to register under...

Persistent link: https://www.econbiz.de/10014893837

Recent regulatory developments provide some clarifications regarding the market access rule for broker-dealers

H. Newman, Bruce; Mitchell, Elizabeth; R. Nicolas, Stephanie - In: Journal of Investment Compliance 15 (2014) 3, pp. 10-19

Purpose – To provide an overview of recent developments relating to the Securities and Exchange Commission (SEC)’s Market Access Rule, Rule 15c3-5 promulgated under the Securities Exchange Act of 1934. Design/methodology/approach – Provides a brief overview of the Rule’s requirements;...

Persistent link: https://www.econbiz.de/10014893838

High-frequency traders: a review of the challenges in registering them as dealers

Fitterman, Mark; Sandoval, Ignacio - In: Journal of Investment Compliance 15 (2014) 3, pp. 3-9

Purpose – To describe some of the challenges that the Securities and Exchange Commission (SEC) will face in requiring that high-frequency traders register as dealers. Design/methodology/approach – This paper provides a brief overview of the dealer-trader distinction, an analytical framework...

Persistent link: https://www.econbiz.de/10014893839

SEC announces first investment adviser ‘pay-to-play’ enforcement action

Norman Goldberger, M.; C. Grugan, John; O’Neil, Christine - In: Journal of Investment Compliance 15 (2014) 3, pp. 35-37

Purpose – To explain the first enforcement action the USA Securities and Exchange Commission (SEC) has brought under …

Persistent link: https://www.econbiz.de/10014893840

The Securities and Exchange Commission (“SEC”) prevails in the second circuit in defending its no-admission settlement policy

Healy, Terence; J. Greer, Amy; Z. Herbst, Daniel - In: Journal of Investment Compliance 15 (2014) 4, pp. 41-43

Purpose – To explain the impact of a recent decision by the USA Court of Appeals for the Second Circuit on the SEC …

Persistent link: https://www.econbiz.de/10014893895

SEC issues guidance update regarding enhanced mutual fund disclosure

Pugliese, Domenick; Rosella, Michael; Hearth, David - In: Journal of Investment Compliance 15 (2014) 4, pp. 11-14

Purpose – To explain a guidance update recently issued by the USA Securities and Exchange Commission (SEC) Division of …

Persistent link: https://www.econbiz.de/10014893896

Supreme Court reaffirms “fraud-on-the-market” presumption in securities fraud class actions

Rendon, Veronica; Freedman, John; Reinhardt, Adam - In: Journal of Investment Compliance 15 (2014) 4, pp. 37-40

Purpose – To explain the Supreme Court’s recent decision in Halliburton Co. v. Erica P. John Fund, Inc. and its implications for private class action litigation under the federal securities laws. Design/methodology/approach – Explains the background on the Halliburton decision, including...

Persistent link: https://www.econbiz.de/10014893897

FATCA: implications for non-US funds: a general guide for determining the applicability of FATCA to non-USA funds

M. Garry, Kristen; Gelencsér, Etienne; M. O’Pray, Eileen - In: Journal of Investment Compliance 15 (2014) 4, pp. 44-52

Purpose – To summarize the principal aspects of USA tax legislation commonly known as the “Foreign Account Tax … Compliance Act” (“FATCA”) that may be relevant to non-USA investment funds. Design/methodology/approach – Reviews the potential … application of FATCA to non-USA investment funds in a question-and-answer format and summarizes the key FATCA compliance …

Persistent link: https://www.econbiz.de/10014893898

Director of SEC’s Division of Investment Management discusses alternative mutual funds

F. Kerr, Richard - In: Journal of Investment Compliance 15 (2014) 4, pp. 15-18

Purpose – To alert participants in the mutual fund industry to regulatory developments in the alternative mutual fund space as articulated by the SEC’s Director of the Division of Investment Management. Design/methodology/approach – Reviews the Director’s discussion of the SEC’s...

Persistent link: https://www.econbiz.de/10014893900

FINRA fines broker-dealer for failing to apply Class A sales charge waivers for certain eligible customers on its mutual fund platform

F. Kerr, Richard - In: Journal of Investment Compliance 15 (2014) 4, pp. 53-56

Purpose – To review FINRA enforcement action taken against a broker-dealer over failure to waive mutual fund sales charges for certain eligible customers and failure to establish, maintain, and enforce a supervisory system and written procedures reasonably designed to ensure eligible accounts...

Persistent link: https://www.econbiz.de/10014893901