Category:Accounting and Finance
Table Of Contents: Volume 16 Issue 3
To provide an overview of the basic model used by many peer-to-peer lending platforms and some of the key peer lending regulatory and structuring considerations under the…
This article serves as a timely alert to public companies and financial institutions of their potential risk exposure in light of the SEC’s aggressive interpretation of…
SEC permits abbreviated tender and exchange offers for non-convertible high-yield and investment-grade debt securitiesIan B. Blumenstein, J. Eric Maki, John T. Owen
– To advise companies of a recent SEC no-action letter relating to tender and exchange offers for certain debt securities.
To alert companies and individuals subject to regulation and investigation by the US Securities and Exchange Commission (SEC) of potential arguments to enforce time limits…
FINRA proposes requiring registration of associated persons who develop algorithmic trading strategiesJanet M. Angstadt, Michael T. Foley, Ross Pazzol, James D. Van De Graaff
To analyze FINRA’s proposal that would require registration with FINRA of associated persons of FINRA-member firms who are primarily responsible for the design…
US Supreme Court clarifies liability standard under Section 11 of the Securities Act of 1933 for statements of opinion in registration statementsRichard Parrino, Douglas Schwab, David Wertheimer
The purpose of this article is to examine the US Supreme Court’s much anticipated decision in Omnicare, Inc. v. Laborers Dist. Council Const. Indus. Pension Fund. In this…
– The article analyses the findings of the Court in the Arch Cru case relating to manager fiduciary duties under English law and conflicts of interest compliance failings.
National Football League faces hedge fund manager fraud: implications for professional associations and investors from the case of international management associatesMajed Muhtaseb
– To describe the fraudulent activity of investment manager Kirk S. Wright and to discuss its implications for investors and professional associations.
Online date, start – end:2000
Copyright Holder:Emerald Publishing Limited
- Dr Henry Davis