Journal of Investment Compliance: Volume 14 Issue 4

Unlike chess, everyone must continue playing after a cyber-attack

Michael Clark, Charles E. Harrell

This paper aims to familiarize readers about the nature and extent of the risks that listed companies and their boards of directors face by not addressing their attention to…

OIS discounting and collateral management under new regulations

Lukasz Prorokowski

The purpose of this paper is to discuss the compliance with the regulatory-driven changes to collateral management and OIS discounting indicating operational and technological…

SEC gives nod to use of social media under Regulation FD – if done correctly

Jennifer Zepralka, Meredith Cross, Thomas White, Knute Salhus, Jonathan Wolfman

The purpose of this paper is to analyze a recent US Securities and Exchange Commission Report of Investigation that concluded an investigation by the SEC Division of Enforcement…

SEC's short selling crackdown highlights role of inspections in enforcement actions and continuing need for compliance vigilance

Elizabeth Gray, Daniel Schloendorn, Howard Kramer

The purpose of this paper is to explain and interpret the Securities and Exchange Commission's (SEC's) recently announced charges against 23 firms for violation of short selling…

FINRA gives member firms a thumbs up on suitability rule compliance

Daniel Nathan, Ana-Maria Ignat

The purpose of this paper is to interpret Financial Industry Regulatory Authority (FINRA) Regulatory Notice 13-31, which provides practical advice to member firms about how FINRA…

SEC adopts new financial responsibility and reporting requirements for US-registered broker-dealers

Elliott Curzon, Jeanette Wingler

The purpose of this paper is to summarize the SEC's recent approval of amendments to its net capital, customer protection, books and records, notification and reporting…

CFTC staff finalizes guidance on anti-disruptive trading practices

Paul M. Architzel, Gail C. Bernstein, Mahlet Ayalew

The Dodd-Frank Act added a number of prohibited trading practices on futures markets and swap execution facilities. In May 2013, the CFTC issued guidance on how it intends to…

Private equity funds may be exposed to ERISA pension liabilities and tax risks: preliminary reflections on the M&A and private equity consequences of the Sun Capital decision

Christian Brause

The paper's aim is to analyze and assess the importance of a recent US Court of Appeals for the First Circuit decision in the case of Sun Capital Partners III LP v. New England…

Ready or not: lost securityholders, uncashed checks and dormant accounts

Holly Smith

– This paper aims to summarize the new rules requiring broker-dealers with customer accounts to search for lost securityholders.

Editor's letter

Henry A Davis