Journal of Investment Compliance: Volume 22 Issue 3

Preparing for market disruption: circuit breakers and discretionary trading halts

Jennifer Morton, Russell Sacks, Jenny Ding Jordan, Steven Blau, P. Sean Kelly, Taylor Pugliese, Andrew Lewis, Caitlin Hutchinson Maddox

This article provides a resource for traders and other market participants by providing an overview of certain automatic circuit breaker mechanisms and discretionary powers that…

US SEC examination priorities for 2021: what you need to know

Matthew Wirig

To summarize the U.S. Securities and Exchange Commission Division of Examinations’s recently published 2021 examination priorities.

Singapore variable capital companies: the many uses and benefits

Jerry Koh, Jonathan Lee

To show different ways the Singapore Variable Capital Company (“VCC”) can be employed and utilized.

U.S. Securities and Exchange Commission (SEC) brings regulation FD enforcement action against AT&T Inc.

Lee T. Barnum, Karl A. Groskaufmanis, Nicole R. Love

To explain and analyze the U.S Securities and Exchange Commission’s complaint filed in the U.S. District Court for the Southern District of New York against AT&T Inc. alleging…

Fintech companies face investment company status challenges

Leslie S. Cruz, Stephanie M. Monaco

To inform readers of the challenges that fintech companies can have regarding investment company status, using two recent examples.

Shades of blue in financing: transforming the ocean economy with blue bonds

Joywin Mathew, Claire Robertson

To provide an overview of how blue bonds can have a transformative impact on the blue- and ocean-based economies.

The new European crowdfunding regulation: facilitating cross-border services

Marco Brand

To explain the new Crowdfunding Regulation to market participants and to describe the impact of the Crowdfunding Regulation on current crowdfunding business models in the European…

The anti-money laundering act of 2020

Marc-Alain Galeazzi, Barbara Mendelson, Malka Levitin

The purpose of this article is to inform stakeholders about the Anti-Money Laundering Act of 2020 (AMLA), explain its impact on the U.S. anti-money laundering (AML) regime, and…

Sovereign wealth fund investments in private funds: selected tax planning considerations in the US, EU and UK

Daniel A. Nelson, Kate Habershon, Kathryn W. Hambrick, Meghan E. McCarthy, Alexios S. Hadji, Grace Tan

To discuss US, EU and UK tax-related issues that sovereign wealth funds should consider when investing in private funds.

Jersey as an investment funds domicile: benefits and regulations

Christopher Griffin, Robert Milner, James Mulholland, Daniel O’Connor

To explain the benefits and the regulations pertaining to Jersey as a domicile for investment funds.