Journal of Investment Compliance: Volume 17 Issue 4

Subjects:

Table of contents

The US department of labor’s final “fiduciary” rule incorporates concessions to financial service industry but still poses key challenges

Kenneth J. Laverierre, Matthew H. Behrens

To describe the main provisions of the US Department of Labor’s final “fiduciary” rule and its related prohibited transaction exemptions and the key challenges the rule poses for…

New compliance guidance by SEC staff signals increased scrutiny of non-GAAP financial measures

Richard J. Parrino

This article examines compliance and disclosure interpretations issued by the staff of the Securities and Exchange Commission in May 2016 that provide guidance to SEC-reporting…

365

Fincen requires financial institutions to obtain beneficial ownership information for legal entity customers

Ignacio Sandoval, Charles Horn, Melissa Hall

To provide an overview of the legal entity customer due diligence rule recently adopted by the Financial Crimes Enforcement Network (FinCEN), a bureau of the US Department of the…

188

Brexit: what are the options for the financial services industry?

David Sahr, Mark Compton, Alexandria Carr, Guy Wilkes, Alexander Behrens

To explain the impact for financial services firms of the UK’s vote to leave the European Union (EU) and to assess the possible options for conducting cross-border financial…

2557

SEC publishes final rules amending the rules of practice for administrative proceedings

Joan McKown, Henry Klehm III, Harold Gordon, David Woodcock, Daniel Bradley

To explain and evaluate amendments to the rules of practice governing the US Securities and Exchange Commission’s (SEC’s) Administrative Proceedings that were adopted by the…

102

Who is the “reasonable investor”?

Jonathan R. Tuttle, Matthew E. Kaplan, Benjamin R. Pedersen

To discuss how two recent court decisions applied the materiality standard concerning information disclosed to investors and the definition of a “reasonable investor”.

305

SEC proposes rules on adviser business continuity and transition plans

Kay Gordon

To discuss the requirements and implications of the US Securities and Exchange Commission’s (SEC’s) proposed new Rule 206(4)-4, which would require all SEC-registered investment…

104

SEC issues guidance on business continuity planning for registered investment companies

Diana McCarthy, Kay Gordon

To explain guidance from the US Securities and Exchange Commission (SEC) Division of Investment Management concerning registered investment companies’ business continuity and…

140

SEC targets broker-dealer implications of transaction-based deal fees

Jason Daniel

To explain a US Securities and Exchange Commission (SEC) enforcement action against a registered investment adviser to private equity funds for allegedly providing brokerage…

ISSN:

1528-5812

Online date, start – end:

2000 – 2021

Copyright Holder:

Emerald Publishing Limited

Editor:

  • Henry A. Davis