Journal of Investment Compliance: Volume 5 Issue 3
Table of contents
Short sales: New rules and recent enforcement actions
Perrie M. Weiner, Edward Totino, Robert D. WeberOver the past few years, regulators, issuers, investors, and other market participants have expressed increasing concerns regarding the real or perceived effects of short selling…
Preventing Sarbanes‐Oxley and other Whistleblower claims
Jill L. RosenbergThe increased regulatory scrutiny in recent years of public corporations, broker‐dealers, and other investment companies has led to a wave of legislative and regulatory reforms…
Broker‐dealer customer complaints
Daniel J. DonovanThe seeds of many litigation and arbitration matters can be found in customer complaints that precede their filing. While few broker‐dealers would subscribe to the view that…
KPMG Survey: Banks accept more costly money‐laundering laws, expect heightened cooperation with regulators
Ellen S. ZimilesRecent U.S. government estimates suggest that $500 billion to $1 trillion is laundered annually worldwide by drug dealers, arms traffickers, and other criminals. Banks, as…
Supervisory controls
Joan L. LavellThe focus on supervision began in the 80’s when the insider trading scandal resulted in visions of Wall Street investment bankers in handcuffs being led away from their offices…
Investment adviser: Failure of duty to supervise
Elizabeth M. KnoblockUnder the new Compliance Program Rules, each U.S. registered investment adviser and U.S. registered investment company was required to designate a Chief Compliance Officer (“CCO)”…
Model compliance: Avoiding the hard‐knocks life so the sun will Come out tomorrow
Lisa HurleyThe October 5, 2004 deadline for complying with Rule 206(4)‐7 under the Investment Advisers Act of 1940 has come and gone and it’s a whole new world for compliance with rules…
The Benefits and potential pitfalls of cooperating with regulatory agencies and the government: How to navigate the minefield
Harry S. Davis, Mary F. AlestraConventional wisdom dictates that if you represent a corporate entity (or even a senior corporate official) involved in a securities or other regulatory investigation ‐ whether by…
How much (and how conflicted) is that portfolio manager in the window? Implications of the SEC proposed rule on enhanced portfolio management disclosure for registered investment companies
James A. HartmannThere has been tremendous focus by the U.S. Securities and Exchange Commission (“SEC”) and by other parties, such as the New York Attorney General, on investment advisory fees…
Living through an SEC investigation: A primer for chief compliance officers
Derek M. MeisnerFollowing adoption of section 206(4)‐7 under the Investment Advisers Act of 1940 and Rule 38a‐1 under the Investment Company Act of 1940 (hereinafter “CCO Rule”), Chief Compliance…
Making the most of an internal investigation
Ken YormarkThe warning signs may come from a number of sources‐a tip from an employee, complaints from customers and vendors, or troubling facts that surfaced in your company financial…
The Use of fraud examiners in the battle against occupational fraud and abuse
Monika J. Machen, Robert E. RichardsIn 2002, it was estimated that occupational fraud and abuse cost organizations $600 billion, or roughly 6 per cent of their revenues. While there are various ways a company can…
ISSN:
1528-5812Online date, start – end:
2000 – 2021Copyright Holder:
Emerald Publishing LimitedEditor:
- Henry A. Davis