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Purpose – The purpose of this paper is to discuss the implications of recent decisions by the UK Information Commissioner under the Freedom of Information Act 2000, ordering the UK Financial Services Authority (FSA), over its objections, to disclose details of certain investigations....
Purpose – The purpose of this paper is to summarize data gathered from the North American Securities Administrators Association 2007 Report of Investment Adviser Examinations, to help all member jurisdictions and advisers gain a better understanding of current compliance challenges, and to...
Purpose – The purpose of this paper is to summarize the main conditions that a UK investment manager has to meet in order to benefit from a UK tax exemption known as the Investment Manager Exemption (IME) and comment on the key developments introduced in the revised Statement of Practice....
Purpose – The purpose of this paper is to explain the risk of bad mutual fund data for a financial services firm that sells mutual funds and to recommend steps a firm can take to ensure the reliability of its mutual fund data. Design/methodology/approach – Explains problems caused by missing...
Purpose – The purpose of this paper is to provide an overview of recent guidance from the FSA and industry, and recent case law regarding product providers and distributors Design/methodology/approach – Explains current status of the guidance; provides overview of the guidance and its two...
Purpose – The purpose of this paper is to provide a detailed description of Amendments to Rule 105 of Regulation M adopted by the US Securities and Exchange Commission (the “SEC”) on June 20, 2007 Design/methodology/approach – Presents a general overview of short sales and the purpose of...
Purpose – The purpose of this paper is to assess the FSA's recent, allegedly soft approach toward insider trading and compare it with current approaches in the USA, France, and Germany Design/methodology/approach – Discusses reasons for the FSA's current approach, including its emphasis on...
Purpose – The purpose of this paper is to explain the issues related to “scheme liability” that underlie the current case before the United States Supreme Court, Stoneridge Investment Partners v. Scientific‐Atlanta and Motorola. Design/methodology/approach – Explains the facts of the...
Purpose – The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices issued from October to December 2007 and a sample of disciplinary actions during that period. In July 2007, FINRA Regulatory Notices replaced NASD Notices...
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