Significant changes to FINRA's Know Your Customer and Suitability rules to...
Abstract: Purpose  The purpose of this paper is to explain two new FINRA rules: Rule 2090 (Know Your Customer) and Rule 2111 (Suitability). Design/methodology/approach  The paper explains the two...
View ArticleFINRA's all public panel option is now available in all customer cases :...
Abstract: Purpose  The purpose of this paper is to explain the rule changes contained in the new SEC Rules 12402 and 12403, which now allow claimants to choose an arbitration panel made up entirely...
View ArticleAn analysis of the Regulated Investment Company Modernization Act of 2010 :...
Abstract: Purpose  The purpose of this paper is to explain the Regulated Investment Company Modernization Act of 2010, P.L. 111-325, signed into law on December 22, 2010. Design/methodology/approach...
View ArticleFinancial services remuneration in the UK : Table of Contents
Abstract: Purpose  The purpose of this paper is to explain the final version of the Remuneration Code, published by the Financial Services Authority (FSA) in December 2010, which deals with...
View ArticleSEC releases study on the fiduciary duty of investment advisers and...
Abstract: Purpose  The purpose of this paper is to explain a study released by the Securities and Exchange Commission on January 21, 2011, the ÂFiduciary Study, concerning legal and regulatory...
View ArticleFINRA IPO Allocation Rule; investment funds must now consider compliance :...
Abstract: Purpose  The purpose of this paper is to describe the Financial Industry Regulatory Authority's new rule for IPO allocation and the requirements for compliance with the rule....
View ArticleEmerging issues under interim final regulation on plan service provider fee...
Abstract: Purpose  The purpose of this paper is to describe interpretive and compliance issues arising under the Labor Department's interim final regulations under the statutory exemption for the...
View ArticleLower courts extend Morrison but SEC asserts Dodd-Frank Act overrules...
Abstract: Purpose  The purpose of this paper is to assess the effects of several lower court decisions, the enactment of the Dodd-Frank Wall Street Reform & Consumer Protection Act of July 2010,...
View ArticleRecommended annual review for hedge funds and other private fund managers :...
Abstract: Purpose  The aim of this paper is to provide hedge fund and other private fund managers with a brief recap of regulatory changes in 2010 and a reminder of certain Âbest practices they...
View ArticleRecent SEC sweep highlights the need for US investment advisers seeking...
Abstract: Purpose  The aim of this paper is to explain the provisions of the US Foreign Corrupt Practices Act that may be applicable to investment advisers seeking investments from foreign...
View ArticleFSA discussion paper on product intervention : Table of Contents
Abstract: Purpose  The aim of this paper is to discuss the implications of the UK Financial Services Authority (FSA) January 25, 2011 discussion paper, DP11/1 Product Intervention....
View ArticleDiscontinued German life insurance portfolios: rules-in-use, interest rate...
Abstract: Purpose  This paper seeks to provide an overview on potential impacts German primary life insurers are exposed to in relation to upcoming Solvency II regulation and potential strategic...
View ArticleCompensating victims of bankrupted financial institutions: a law and economic...
Abstract: Purpose  The purpose of this paper is to understand the incentive effects of existing compensation mechanisms in case of the bankruptcy of a financial institution....
View ArticleThe institutional framework against money laundering and its underlying...
Abstract: Purpose  The purpose of this paper is to underscore the current supranational anti-money laundering (AML) regimes articulating challenges of harnessing them as a robust framework. Some...
View ArticleFinancial-Technology Entrepreneurs Present Latest Innovations to Wall Street...
Financial-Technology Entrepreneurs Present Latest Innovations to Wall Street ...: NEW YORK, Jul 22, 2011 (BUSINE... http://bit.ly/nzjt97
View ArticleSmall Businesses Call for Federal Legislation on Online Sales Tax
SEATTLE, July 22, 2011 /PRNewswire/ -- FedTax® announced today that it joins its TaxCloud® merchants in urging Congress to enact the Main Street Fairness Act (MSFA). The MSFA will authorize states that...
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