| 1714169 |
The Stoneridge case – much ado about nothing?
Andrew Edison
(pp. 5-9)
Keywords:
Fraud,
Legislation,
Liability,
Securities,
United States of America
ArticleType: Technical paper
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(53 KB)
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| 1714170 |
The FSA begins to “think tough” on insider dealing: but will thoughts turn to deeds?
Duncan Black, Angelo Lercara, Joe Smallhoover, Paul Huey-Burns
(pp. 10-13)
Keywords:
Financial services,
Insider trading,
Law enforcement,
Laws and legislation,
United Kingdom
ArticleType: Technical paper
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(48 KB)
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| 1714171 |
Freedom of information rights may result in the FSA's views about regulated firms becoming public
Carlos Conceicao, Rosalind Gray
(pp. 14-17)
Keywords:
Financial services,
Freedom of information,
United Kingdom
ArticleType: Technical paper
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(47 KB)
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| 1714172 |
Providers and distributors: responsibilities regarding retail structured products
David Rouch, Joanna Benjamin, Michael Raffan, Mark Kalderon, Simon Orton
(pp. 18-23)
Keywords:
Financial institutions,
Financial services,
Laws and legislation,
United Kingdom
ArticleType: Technical paper
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(60 KB)
|
| 1714173 |
The changing tax environment for the UK hedge fund sector
Dana Ward
(pp. 24-29)
Keywords:
Financial management,
Investments,
Off shore investments,
Taxation,
United Kingdom
ArticleType: Technical paper
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(56 KB)
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| 1714174 |
SEC adopts Amendments to Rule 105 of Regulation M, including important exceptions for bona fide purchases and for separate accounts
Charles S. Gittleman, Russell D. Sacks
(pp. 30-34)
Keywords:
Laws and legislation,
Securities markets,
United States of America
ArticleType: Technical paper
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(56 KB)
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| 1714223 |
North American Securities Administrators Association 2007 Report of Investment Adviser Examinations
(pp. 35-39)
Keywords:
Examinations,
Financial services,
North America,
Professional qualifications,
Securities markets
ArticleType: Technical paper
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(111 KB)
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| 1714176 |
Taking the risk out of mutual fund compliance: a seven-step check list for safer, more cost-efficient mutual fund sales
Jeff Levering
(pp. 40-44)
Keywords:
Data management,
Financial markets,
Financial services,
Funds statements,
Risk management,
United States of America
ArticleType: Technical paper
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(50 KB)
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| 1714177 |
Summary of selected FINRA Regulatory Notices and Disciplinary Actions
Henry A. Davis
(pp. 45-56)
Keywords:
Financial markets,
Regulation,
Securities markets,
United States of America
ArticleType: Technical paper
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(86 KB)
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