Journal of Investment Compliance: Volume 11 Issue 1

Proposed national market system changes aim to lighten dark pools

Andre E. Owens, Soo J. Yim, Beth A. Stekler, Cristie L. March

The purpose of this paper is to explain rule changes proposed by the Securities and Exchange Commission designed to address regulatory concerns related to “dark pools” of…

SEC and CFTC issue Joint Report on Regulatory Harmonization

Charles E. Dropkin

The purpose of this paper is to summarize the Joint Report on Regulatory Harmonization issued by the Securities and Exchange Commission (SEC) and the Commodity Futures Trading…

SEC holds roundtable on securities lending/short selling

Kevin J. Campion, Arik Hirschfeld

The purpose of this paper is to summarize and provide excerpts from a two‐day roundtable on securities lending and short selling hosted by the Securities and Exchange Commission…

A Stern look at hedge fund risk

Jeremy Kosky, Simon James, Helen Carty

This paper aims to give an overview of the English law position on potential liability for misstatements and claims which investors may be considering.

What is the consequence of the missing compliance function at hedge funds? Fraud is! Analysis, lessons and solutions

Majed R. Muhtaseb

The purpose of this paper is to offer case studies of hedge fund fraud, solutions that could mitigate hedge fund fraud risk, and a proposal for the industry to establish a hedge…

Trademark registration can provide financial services companies with valuable benefits

Beth H. Alter

The purpose of this paper is to educate financial services companies about the importance of trademark registration.

Foreign IPOS by Russian issuers: new rules

Alan Kartashkin, Maxim Kuleshov, Yulia Sazykina

The purpose of this paper is to explain new regulations for foreign securities offerings by Russian issuers.

SFC consults on proposals to enhance protection for the investing public

Martin Rogers, Mark Shipman, James Walker, Paget Dare Bryan, Charlotte Robins

The purpose of this paper is to draw attention to the Hong Kong Securities and Futures Commission (SFC) Consultation Paper on Proposals to Enhance Protection for the Investing…

Summary of selected FINRA regulatory notices and disciplinary actions September‐November 2009

Henry A. Davis

The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) regulatory notices and disciplinary actions issued in September…

Editor column

Henry A. Davis