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CFTC proposes harmonization rules for mutual funds

Molesworth, Rita; Tuchman, Deborah A.; O'Donnell, Dianne E. - In: Journal of Investment Compliance 13 (2012) 3, pp. 46-50

disclosure, recordkeeping and reporting rules that are designed to resolve or minimize certain conflicts between CFTC rules and … and swaps trading will subject their advisers to regulation as commodity pool operators as a result of the amendments to … disclosure, reporting and recordkeeping and describes how the CFTC's proposed rules for Futures RICs are intended to resolve or …

Persistent link: https://www.econbiz.de/10014893433

Strengthening corporate governance regulations

Proimos, Alex - In: Journal of Investment Compliance 6 (2005) 4, pp. 75-84

. Originality/value – Highlights the importance of effective corporate governance regulation in the prevention of future corporate …

Persistent link: https://www.econbiz.de/10014893177

Regulation of market misconduct in the United Kingdom

Falkner, Robert; Gerty, Jon - In: Journal of Investment Compliance 6 (2005) 4, pp. 35-53

Purpose – To introduce and summarize the key features of market‐misconduct‐related offenses in the UK with a particular focus on insider dealing. Design/methodology/approach – Provides a detailed overview of: the market abuse regime of the UK's financial regulator, the Financial Services...

Persistent link: https://www.econbiz.de/10014893180

The new supervisory rules regime: a practical look at areas of exposure for broker‐dealers and senior personnel

Hiler, Bruce; Kuczajda, Thomas; Rabie, Aseel - In: Journal of Investment Compliance 7 (2006) 1, pp. 34-42

Purpose – The purpose of this paper is to describe the exposure and the responsibilities of a broker‐dealer's senior management under NASD's and the NYSE's new rules, emphasizing a regular review of supervisory and compliance systems. Design/methodology/approach – Describes new rules,...

Persistent link: https://www.econbiz.de/10014893182

The Investment Advisers Act: the need for clarity in the post‐Goldstein era

Wider, Jedd - In: Journal of Investment Compliance 7 (2006) 4, pp. 12-15

environment for hedge funds by an attorney who specializes in investment fund regulation. …

Persistent link: https://www.econbiz.de/10014893202

Draft amendments to the German Investment Act

Zeller, Sven - In: Journal of Investment Compliance 8 (2007) 2, pp. 52-57

certain reporting obligations, an acceleration of the approval process for fund rules, a shortening of the publication process …

Persistent link: https://www.econbiz.de/10014893225

Final Section 409A regulations and their effect on offshore hedge fund deferral arrangements

Shea Fries, Elizabeth; Scerbak, Adrienne A.; Tse, Marian A. - In: Journal of Investment Compliance 8 (2007) 3, pp. 60-63

Purpose – The purpose of this paper is to explain restrictions on nonqualified deferred compensation arrangements contained in Section 409A of the Internal Revenue Code. Design/methodology/approach – The study explains the background to Section 409A, how Section 409A applies to hedge funds,...

Persistent link: https://www.econbiz.de/10014893232

China introduces margin trading and securities lending

Yang, TieCheng; Wang, Lucas - In: Journal of Investment Compliance 8 (2007) 3, pp. 64-70

Purpose – The aim of this paper is to explain the details of a trial program in China to introduce margin trading and securities lending. Design/methodology/approach – The paper describes eligibility requirements for securities companies and their clients; accounts for margin trading and...

Persistent link: https://www.econbiz.de/10014893233

Summary of selected actions by NASD, April‐June 2007

Davis, Henry A. - In: Journal of Investment Compliance 8 (2007) 3, pp. 79-94

Requirements Related to Regulation NMS; 07‐24, New Requirement for the Reporting of Consolidated Short Interest Positions to the … PATRIOT Act; 07‐19, SEC Approves Amendments to Expand IM‐2110‐2 to include OTC Equity Securities; 07‐23, NASD Trade Reporting … Intermarket Surveillance Group (ISG); 07‐25, NASD Provides Guidance Concerning Trade Reporting Obligations for Transactions in …

Persistent link: https://www.econbiz.de/10014893236

Sound policies and procedures: the basis of a sound compliance program

Wolosz, Linda - In: Journal of Investment Compliance 8 (2007) 4, pp. 7-11

Purpose – The purpose of this paper is to: emphasize the importance of sound policies and procedures to support a sound compliance program; define the relationships among rules, policies, and procedures; and recommend a detailed, step‐by‐step approach for implementing a strong rules,...

Persistent link: https://www.econbiz.de/10014893238