Journal of Investment Compliance: Volume 14 Issue 3
Table of contents
US insider trading enforcement goes global
Jeffrey Lehtman, William WhiteThe purpose of the paper is to discuss the SEC's increased willingness to pursue insider trading enforcement actions related to transactions that take place largely outside the…
Operational regulatory risks facing private equity firms
Jeffrey Legault, Pablo Quiňones, Mark G. Pedretti, Alexandra Poe, Lina ZhouThe purpose of this paper is to explain various regulatory risks and problem areas facing private equity firms and to recommend compliance policies and procedures to minimize…
Significant changes to rules for private securities offerings
David Engvall, David Martin, Warren Caywood, James WawrzyniakThe purpose of this paper is to explain changes to the SEC rules governing private offerings of securities, permitting general solicitation and general advertising in certain…
SEC settles administrative proceedings against adviser and top executive over undocumented block trade allocation practices
Jackson Galloway, James CatanoThe purpose of this paper is to provide a summary of the terms of a settled Securities and Exchange Commission administrative proceeding that illustrates the views of the SEC…
Recent SEC action reminds investment advisers of importance of robust compliance program
Therese Pritchard, Jeff Kalinowski, Jeff ZiesmanThe purpose of this paper is to remind investment advisers of the need for robust compliance policies and procedures in light of a recent SEC administrative proceeding in the case…
FCPA broker-dealer case highlights compliance risks for financial institutions
Philip Urofsky, Danforth NewcombThe purpose of this paper is to provide suggestions to the banking and finance sectors on managing FCPA risks in light of a May 2013 FCPA enforcement action against employees of a…
Broker-dealer e-mail systems must keep pace with firm growth, FINRA says
Daniel A. Nathan, Kelley A. HowesThe purpose of the paper is to explain the implications of a FINRA disciplinary action and recommend ways for broker-dealers to assess their compliance with supervisory and…
ISSN:
1528-5812Online date, start – end:
2000 – 2021Copyright Holder:
Emerald Publishing LimitedEditor:
- Henry A. Davis