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SEC adopts large trader reporting system

Blanc, Roger D.; Schloendorn, Daniel; Kramer, Howard L.; … - In: Journal of Investment Compliance 12 (2011) 4, pp. 31-39

Purpose – The purpose of this article is to inform the various securities market participants about new Exchange Act Rule 13h‐1, its specifics and the requirements it may impose. Design/methodology/approach – The paper outlines the various requirements of the Rule and additional background...

Persistent link: https://www.econbiz.de/10014893398

CFTC adopts significant changes to CPO and CTA registration and compliance requirements

Rosenzweig, Kenneth M.; Cohen, Wendy E.; Okoshi, Marilyn S. - In: Journal of Investment Compliance 13 (2012) 2, pp. 15-19

investment companies need to evaluate their exposure to CFTC regulation after this rule amendment. Originality/value – The paper …

Persistent link: https://www.econbiz.de/10014893418

All advisers to registered investment companies need to evaluate their exposure to CFTC regulation after recent rule amendment

Shea, Peter J.; Moriarty, Kathleen H.; Rosenzweig, … - In: Journal of Investment Compliance 13 (2012) 2, pp. 20-24

a proposed harmonization of CFTC CPO regulation with Securities and Exchange Commission regulation of registered fund …

Persistent link: https://www.econbiz.de/10014893419

Supervisory obligations of broker‐dealer legal and compliance personnel after the Urban case

Blanc, Roger D.; Kramer, Howard L.; Miller, Martin R.; … - In: Journal of Investment Compliance 13 (2012) 2, pp. 40-43

Purpose – The purpose of this paper is to analyze a recent US Securities and Exchange Commission order dismissing an administrative proceeding against the former general counsel of a broker‐dealer relating to his purported failure to supervise a registered representative....

Persistent link: https://www.econbiz.de/10014893421

A mixed report for money laundering officers

Saunders, Martin; Stott, Chris - In: Journal of Investment Compliance 13 (2012) 3, pp. 60-62

Purpose – The aim is to explain the meaning of a May 2012 High Court decision and Financial Services Authority fine and their importance for money laundering reporting officers (MLROs) and those who oversee anti‐money laundering (AML) controls. Design/methodology/approach – The paper...

Persistent link: https://www.econbiz.de/10014893435

SEC approves new FINRA rules governing communications with the public

Kelly, Joseph P.; Curzon, Elliott R. - In: Journal of Investment Compliance 13 (2012) 3, pp. 63-68

Purpose – The paper aims to explain the new Financial Industry Regulatory Authority (FINRA) rules governing communications with the public approved by the Securities and Exchange Commission (SEC) on March 29, 2012. Design/methodology/approach – The following are explained: categories of...

Persistent link: https://www.econbiz.de/10014893436

China's QFII regime: a complete review of the regulatory scheme and compliance risks

Shipman, Mark - In: Journal of Investment Compliance 13 (2012) 3, pp. 74-83

Purpose – The paper aims to explain regulatory issues and considerations as to future regulatory changes that Chinese regulators may implement with regard to the Qualified Foreign Institutional Investor (QFII) regime. Design/methodology/approach – The paper describes: the regulators...

Persistent link: https://www.econbiz.de/10014893438

More unintended consequences of use restrictions in confidentiality agreements

Caplan, Gordon; Korn, Jeffrey; Langdon, Robert T.; … - In: Journal of Investment Compliance 13 (2012) 4, pp. 41-43

Purpose – The purpose of this paper is to highlight the importance of careful review and negotiation of confidentiality agreements in corporate transactions and to discuss certain issues that arose out of a recent confidentiality agreement. Design/methodology/approach – The paper explores...

Persistent link: https://www.econbiz.de/10014893446

EMIR: an overview of the new framework

Aron, Tim; Lalone, Nathaniel; Jackson, Carolyn - In: Journal of Investment Compliance 14 (2013) 2, pp. 57-60

Purpose – The purpose of this paper is to explain the European Market Infrastructure Regulation, known as EMIR, adopted … on July 4, 2012 as the Regulation on OTC Derivatives, Central Counterparties and Trade Repositories. Design …

Persistent link: https://www.econbiz.de/10014893736

Appearance or substance of Stewardship and ESG reporting? The challenges of translating ‘commitment’ into tangible outcomes

Tilba, Anna - In: Sustainability Accounting, Management and Policy Journal 13 (2022) 5, pp. 1015-1032

, regulation and future practices in the area of sustainability and ESG reporting. …, to highlight a tension and contradictions associated with demonstrating sustainability leadership and its actual …-up policy and regulatory approach to stewardship and sustainability reporting. Social implications Improving stewardship …

Persistent link: https://www.econbiz.de/10015006040