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Purpose – The paper aims to explain the background and to discuss the implications for broker‐dealers of US Circuit Court of Appeals for the District of Columbia March 30, 2007 decision in Financial Planning Association v. Securities and Exchange Commission (FPA) vacating Rule 202(a)(11),...
Purpose – The paper aims to discuss the growing importance of electronic discovery in commercial litigation; the impact of the e‐discovery amendments to the Federal Rules of Civil Procedure (FRCP), and the steps corporations should take to address the new rules. Design/methodology/approach...
Purpose – The aim of this paper is to express a point of view concerning recent recommendations to reduce or eliminate the authority of state securities regulators. Design/methodology/approach – The paper cites three recent reports by the Committee on Capital Markets Regulation, McKinsey &...
Purpose – The aim of this paper is to discuss the business and operational considerations and controls involved when derivatives, specifically swap contracts, are used as investment vehicles. Overall, the paper attempts to provide the baseline for understanding swap processing requirements and...
Purpose – The purpose of this paper is to describe and compare the different ways in which the shareholder disclosure requirements under the European Union Transparency Directive have been implemented in the UK, France, and Germany. Belgium and Luxembourg have not yet implemented the Directive....
Purpose – The purpose of this paper is to assess the history, current use, and possible future of Rule 12b‐1 of the Investment Company Act of 1940. Design/methodology/approach – This paper briefly reviews the history behind the original adoption of Rule 12b‐1, then discusses the ways in...
Purpose – The purpose of this paper is to discuss the overall profile of SEC‐registered investment advisers in the USA, to identify trends and influences on the profile of investment advisers, and to extrapolate to future expectations in the profile of SEC‐registered investment advisers....
Purpose – The purpose of this paper is to summarize recent draft amendments to the German Investment Act as reflected in the second Draft dated 2 April 2007. Design/methodology/approach – The paper summarizes proposed changes in regulations for investment companies and product‐related...
Purpose – The purpose of this paper is to describe the implications of two recent decisions in Ryan v. Gifford and In Re Tyson Foods, Inc. concerning stock options backdating, “spring‐loading,” and “bullet‐dodging.” Design/methodology/approach – The paper summarizes the facts of...
Purpose – The aim of this paper is to outline some key features of China's new rules on anti‐money laundering. Design/methodology/approach – This paper describes the expanded definition of “anti‐money laundering”; the application of the rules to a broader group of financial...
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