Category:Accounting and Finance
Table Of Contents: Volume 15 Issue 1
AML compliance for foreign correspondent accounts: a primer on beneficial ownership requirements and other challengesChristina N. Davilas
To educate on AML legal requirements and issues relative to foreign correspondent accounts, and give practical advice on relatively low-burdensome measures firms can take…
To explain regulatory developments and changes to compliance obligations for asset managers registered with the Commodity Futures Trading Commission (CFTC) as commodity…
– To educate the audience about a significant change in SEC enforcement policy
– To contrast SEC Chair Mary Jo White's enforcement rhetoric with the results of recent SEC enforcement actions.
Mark Cuban defense verdict highlights difficulty of proving “misappropriation” theory of insider tradingJonathan Green, Aaron Miner
– To summarize and draw conclusions from the insider trading suit brought against well-known entrepreneur Mark Cuban in 2008.
To highlight recent enforcement actions by the SEC demonstrating the agency's increased focus on violations of Rule 105 of Regulation M and to provide guidance on how to…
– To explain the SEC's focus on the appropriate use of fee-based accounts and disciplinary efforts to identify and prevent “reverse churning.”
– The purpose of the paper is to describe the recent amendments to FINRA's IPO Allocation Rule that were approved by the US Securities and Exchange Commission.
SEC issues guidance on Rule 144A and Rule 506 offerings regarding general solicitation and general advertising and other aspects of the amended rulesStuart Gelfond, Joshua Coleman, Kaihli Ross
To explain the SEC's new Compliance and Disclosure Interpretations (“CDIs”) relating to the recently adopted amendments to Rule 144A and Rule 506, which permitted general…
– To summarize the Financial Industry Regulatory Authority report on broker-dealer conflicts of interest.
Compliance is defined as conforming to a rule, such as a policy framework, standard or law. Regulatory compliance encompasses all processes that require an entity to be…
Online date, start – end:2000
Copyright Holder:Emerald Publishing Limited
- Dr Henry Davis