Journal of Investment Compliance: Volume 8 Issue 3

The SEC's enforcement of procedures to prevent insider trading

Brian A. Ochs

The purpose of this article is to analyze the SEC enforcement staff's recent scrutiny of the roles and responsibilities of securities firms for the protection of confidential…

Cross‐border access to US investors: some recent proposals

Edward J. Ferraro

The purpose of this article is to analyze and draw conclusions from recent SEC staff proposals and commissioners' comments and a recent roundtable discussion concerning access to…

The Foreign Corrupt Practices Act: recent cases and enforcement trends

Betty Santangelo, Gary Stein, Margaret Jacobs

The purpose of this article is to explain recent enforcement trends under the Foreign Corrupt Practices Act (FCPA), providing examples of recent cases.

Court decision on hedge fund registration requirements derails SEC fraud case

Steven N. Machtinger

The purpose of this paper is to illustrate through a recent Order Dismissing Proceedings against a San Francisco hedge fund manager the interplay between the SEC's regulation and…

Final Section 409A regulations and their effect on offshore hedge fund deferral arrangements

Elizabeth Shea Fries, Adrienne A. Scerbak, Marian A. Tse, Scott A. Webster

The purpose of this paper is to explain restrictions on nonqualified deferred compensation arrangements contained in Section 409A of the Internal Revenue Code.

China introduces margin trading and securities lending

TieCheng Yang, Lucas Wang

The aim of this paper is to explain the details of a trial program in China to introduce margin trading and securities lending.

Path to investment success lined with hidden traps

Joe Borg

The purpose of this paper is to remind investment company compliance professionals of common traps for unwary investors, to emphasize the importance of detecting and preventing…

Making a security and compliance investment: how to value what you pay for

Murray Mazer

The purpose of the paper is to emphasize the need for technology and people investments in security and compliance and to show the cost of not making such investments.

Summary of selected actions by NASD, April‐June 2007

Henry A. Davis

The aim of this paper is to provide excerpts of selected NASD actions in April, May, and June 2007.

Editor column

Henry A. Davis