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Purpose – The purpose of this paper is to explain and emphasize the importance of compliance with the Foreign Corrupt Practices Act and similar anti‐corruption laws in force in other countries. Design/methodology/approach – The paper cites renewed pressure to address corruption risks from...
Purpose – The purpose of this paper is to explain the changes to the US federal money laundering and criminal fraud statutes contained in the Fraud Enforcement and Recovery Act of 2009 (“FERA”) Design/methodology/approach – The paper explains how FERA extends the definition of...
Purpose – The purpose of this paper is to explain a new directive of the European Union adopted by the European Parliament on May 6 that governs, among other things, the amount of capital that banks and other credit institutions are required to hold in respect of credit risk....
Purpose – The purpose of this paper is to explain a recommendation from the SEC Division of Investment Management for new rules focused on strengthening control over client assets held by registered investment advisers (RIAs) or their affiliates. Design/methodology/approach – The paper...
Purpose – The purpose of this paper is to explain changes to Chapter 5 of the UK Disclosure and Transparency Rules (DTR 5), introducing new disclosure requirements relating to holdings of financial instruments that have a similar economic effect to shares, such as CfDs, that took effect on June...
Purpose – The purpose of this paper is to explain the content, purpose, and likely effects of the European Commission's draft directive on Alternative Investment Fund Managers published on April 30, 2009. Design/methodology/approach – The paper explains which firms will be affected by the...
Purpose – The purpose of this paper is to explain and analyze recent US Congressional, Obama Administration, and financial services industry initiatives to reform and regulate the market for OTC derivatives. Design/methodology/approach – The paper outlines Congressional committee bills, other...
Purpose – The current financial crisis revealed weaknesses in the US financial system, including the difficulty of valuing complex assets. This paper seeks to examine regulatory and compliance issues for hedge funds valuing complex assets. Design/methodology/approach – Within the context of...
Purpose – The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued from April to June 2009 and a sample of disciplinary actions during that period. Design/methodology/approach – The paper...
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