Journal of Investment Compliance: Volume 12 Issue 3
Table of contents
Private placement variable life insurance and annuities invested in hedge funds: due diligence issues for all parties to the transaction
Roger Lorence, Steven Q. ZhangThe purpose of this paper is to highlight not only the pre‐closing, but also the continuing due diligence required of all parties in private placement life insurance or annuities…
New form ADV Part 2: post‐filing post‐mortem and more fun with Part 1
Lorna A. SchnaseThe purpose of this paper is to identify and discuss issues impacting Form ADV filings that include new adviser firm brochures and brochure supplements.
SEC holds roundtable on money market funds and systemic risk
Benjamin J. Haskin, Barry P. Barbash, Brian M. HallThis paper seeks to describe the recent SEC Roundtable on Money Market Funds and Systemic Risk and the context behind the roundtable.
SEC approves FINRA's overhaul of its Discovery Guide
S. Lawrence Polk, Avital StadlerThe purpose of this paper is to explain FINRA's recent overhaul of the Discovery Guide for arbitrations.
SEC adopts final rules on Dodd‐Frank Whistleblower Program
Michael E. Clark, Laurence S. Lese, F. Reid AvettRecently, the US Securities and Exchange Commission (SEC) adopted final rules for the expanded whistleblower program established by the Dodd‐Frank Wall Street Reform and Consumer…
New FINRA books and records rules
Yoon‐Young Lee, Bruce H. Newman, Kohki M. KubotaThe purpose of this paper is to explain newly approved Financial Industry Regulatory Authority (FINRA) books and records rule (Rules 2268, 4511, 4513, 4514, 4515, 5340, and…
FINRA's concept proposal on fixed‐income research reports
Russell D. Sacks, Michael J. BlankenshipThe purpose of the paper is to explain Financial Industry Regulatory Authority (“FINRA”) Regulatory Notice 11 11, which requests comment on a concept proposal to further regulate…
The role of money laundering reporting officers in combating money laundering in Zambia
Musonda Simwayi, Guohua WangThe purpose of this paper is to assess the role of Money Laundering Reporting Officers (MLROs) in combating money laundering in Zambia's commercial banks.
Summary of selected FINRA regulatory notices, March‐May 2011
Henry A. DavisThe purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued in March, April…
ISSN:
1528-5812Online date, start – end:
2000 – 2021Copyright Holder:
Emerald Publishing LimitedEditor:
- Henry A. Davis