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FSA challenge in Court of Appeal to finding of Financial Services and Markets Tribunal on question of whether solicitors' firm had contravened financial promotion regime
Gray, Joanna - In: Journal of Financial Regulation and Compliance 17 (2009) July, pp. 349-356
Appeal to finding of Financial Services and Markets Tribunal on question of whether solicitors' firm had contravened …
Persistent link: https://www.econbiz.de/10004987621
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OTC derivatives: proposed legislative and regulatory efforts to impose a more rigid regulatory structure
Telpner, Joel; Piracci, Jamila - In: Journal of Investment Compliance 10 (2009) 3, pp. 26-33
arbitrage; and the danger that stringent regulation in the USA will drive OTC derivatives business offshore. Findings – Unlike … legislation that will not threaten the preservation of the OTC derivatives market in the USA. Originality/value – The paper …
Persistent link: https://www.econbiz.de/10014893308
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FinCEN and regulators issue joint guidance on obtaining beneficial ownership information, potentially expanding certain financial institutions' USA PATRIOT Act obligations
Santangelo, Betty; Stokes, Amber - In: Journal of Investment Compliance 11 (2010) 4, pp. 45-50
Purpose – The purpose of this paper is to describe guidance (“the Guidance”) issued by the Financial Crimes Enforcement Network (“FinCEN”), the Federal Banking Regulators and the Securities and Exchange Commission on obtaining beneficial ownership information for certain accounts and...
Persistent link: https://www.econbiz.de/10014893360
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In Rule 12b‐1 overhaul, SEC proposes dramatic changes to mutual fund distribution arrangements
Greene, Nathan J. - In: Journal of Investment Compliance 11 (2010) 4, pp. 51-55
Purpose – The purpose of this paper is to explain the SEC's proposal to establish a new framework for mutual fund distribution charges by replacing Rule 12b‐1 with a new Rule 12b‐2 combined with an amended Rule 6c‐10. Design/methodology/approach – The paper discusses the background of...
Persistent link: https://www.econbiz.de/10014893361
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Second Circuit rules securities fraud claim of mutual fund shareholders relating to affiliated transfer agent arrangements may proceed, but upholds dismissal of breach of fiduciary...
Dodds, William K.; Vargo, Brian S. - In: Journal of Investment Compliance 11 (2010) 4, pp. 56-58
Purpose – The purpose of this paper is to explain a February 2010 US Second Circuit Court decision in Operating Local 649 Annuity Trust Fund v. Smith Barney Fund Management LLC that supported fund investor plaintiffs who alleged that fund advisors accepted undisclosed compensation from a...
Persistent link: https://www.econbiz.de/10014893362
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Normsetzungsbefugnisse von Kapitalmarktaufsichtsbehörden
Halfpap, Patrick - In: Zeitschrift für Bank- und Kapitalmarktrecht : BKR 9 (2009) 2, pp. 65-72
Persistent link: https://www.econbiz.de/10003810775
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Statutory obligations for banks to comply with the anti-money laundering legislation in Malaysia : lessons from the United Kingdom
Norhashimah Mohd Yasin - In: Journal of banking regulation 16 (2015) 4, pp. 326-344
Persistent link: https://www.econbiz.de/10011567570
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University or degree apprenticeship? : stratification and uncertainty in routes to the solicitors’ profession
Casey, Caroline; Wakeling, Paul - In: Work, employment and society : a journal of the British … 36 (2022) 1, pp. 40-58
Persistent link: https://www.econbiz.de/10012887060
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Legislation and SME retailers – compliance costs and consequences
Schmidt, Ruth A.; Bennison, David J.; Bainbridge, Stephen; … - 2007
.Findings – Findings show SME retailers' perceptions of the differential burden related to the impact of new legislation, with the key ….Practical implications – Findings clarify the nature of the differential burden of legislation to retail SMEs. The need for an “outcomes …
Persistent link: https://www.econbiz.de/10009455077
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Hazards, law and class : contextualizing the regulation of corporate crime
Pearce, Frank; Tombs, Steve - 2009
Persistent link: https://www.econbiz.de/10003833264