Journal of Investment Compliance: Volume 10 Issue 3
Table of contents
Under the microscope: valuation and hedge funds
Benjamin J. Haskin, Joseph G. Davis, Jocelyn C. FlynnThe current financial crisis revealed weaknesses in the US financial system, including the difficulty of valuing complex assets. This paper seeks to examine regulatory and…
OTC derivatives: proposed legislative and regulatory efforts to impose a more rigid regulatory structure
Joel Telpner, Jamila PiracciThe purpose of this paper is to explain and analyze recent US Congressional, Obama Administration, and financial services industry initiatives to reform and regulate the market…
Financial services firms face increased pressures on anti‐corruption compliance
Matt T. Morley, Jeffrey B. Maletta, Michael J. King, Robert V. Hadley, Matthew J. Fader, Brian F. SaulnierThe purpose of this paper is to explain and emphasize the importance of compliance with the Foreign Corrupt Practices Act and similar anti‐corruption laws in force in other…
Fraud Enforcement and Recovery Act of 2009: Congress amends money laundering and criminal fraud statutes to expand their scope and penalties
Howard W. GoldsteinThe purpose of this paper is to explain the changes to the US federal money laundering and criminal fraud statutes contained in the Fraud Enforcement and Recovery Act of 2009…
SEC proposes investment adviser custody rule amendments to enhance safekeeping and oversight of client assets
Lauren Blumenthal KleimanThe purpose of this paper is to explain a recommendation from the SEC Division of Investment Management for new rules focused on strengthening control over client assets held by…
New CfD disclosure regime comes into force on June 1, 2009
Chris Bates, Carlos Conceicao, Mark Poulton, David PudgeThe purpose of this paper is to explain changes to Chapter 5 of the UK Disclosure and Transparency Rules (DTR 5), introducing new disclosure requirements relating to holdings of…
Amendments to the Capital Requirements Directive adopted by European Parliament
Kevin Hawken, Miles BakeThe purpose of this paper is to explain a new directive of the European Union adopted by the European Parliament on May 6 that governs, among other things, the amount of capital…
EU proposes directive on alternative investment fund managers
Peter Bibby, Helen Marshall, Christopher LeonardThe purpose of this paper is to explain the content, purpose, and likely effects of the European Commission's draft directive on Alternative Investment Fund Managers published on…
Summary of selected FINRA Regulatory Notices, April‐June 2009
Henry A. DavisThe purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued from April to…
ISSN:
1528-5812Online date, start – end:
2000 – 2021Copyright Holder:
Emerald Publishing LimitedEditor:
- Henry A. Davis