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Jan 26, 2012 - Julie Goodman

SEC Eyeballs Mutual Fund Alternative Strategies

The Securities and Exchange Commission is looking more closely at mutual funds that embrace hedge-fund like strategies and whether they are heeding daily valuation and liquidity requirements.

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Jan 26, 2012 - Julie Goodman

Fund CCOs Advised On Fee Scrutiny

Chief compliance officers at mutual fund firms, facing tougher scrutiny from regulators, need to be taking a close look at how fees are set.

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Jan 26, 2012

Compliance Clinic: Anti-Graft Due Diligence

Mergers and acquisitions and joint ventures face increasing scrutiny with stricter global regulation and enforcement.

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Jan 23, 2012 - Ben Maiden

CCOs Given Heads Up On Complex Products

Compliance officers, already on alert to regulatory scrutiny of how their firms handle complex financial instruments, have been given new guidance on and further evidence of the need for taking great care.

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Jan 18, 2012 - Stan Wilson

Hot-Button Issues Drop Off SEC’s 2012 Agenda

Controversial projects to set up a fiduciary duty standard for brokers and for broker point-of-sale disclosures have been quietly dropped from the Securities and Exchange Commission’s published 2012 agenda for implementing the Dodd-Frank Act.

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SEC Eyeballs Mutual Fund Alternative Strategies
Fund CCOs Advised On Fee Scrutiny
Compliance Clinic: Anti-Graft Due Diligence
CCOs Given Heads Up On Complex Products
Hot-Button Issues Drop Off SEC’s 2012 Agenda

Current

News

  • Features

    Compliance Clinic: Anti-Graft Due Diligence

    Thursday, January 26, 2012 12:08 PM
    Mergers and acquisitions and joint ventures face increasing scrutiny with stricter global regulation and enforcement. Read More

  • Features

    Compliance Clinic: Cloud Technology

    Thursday, January 12, 2012 2:45 PM
    Many securities industry organizations have embraced cloud technologies or are considering a cloud environment as a means to more efficiently and effectively deliver client products and services, as well as to aid their internal capabilities. Read More

  • Features

    Lynnette Kelly Hotchkiss, MSRB

    Thursday, December 22, 2011 2:13 PM
    The Municipal Securities Rulemaking Board has taken on a more prominent role in the aftermath of the financial crisis and the implementation of the Dodd-Frank Act. Read More

  • Features

    Compliance Clinic: Gearing Up For The Large Trader Rule

    Thursday, November 17, 2011 9:41 AM
    On Oct. 3, 2011, the Securities and Exchange Commission’s new Rule 13h-1, which was adopted under Section 13(h) of the Securities Exchange Act of 1934, became effective. Read More

  • Features

    Ask An Attorney: Enforcement Cooperation

    Thursday, November 03, 2011 2:49 PM
    What does it take to receive credit from the Financial Industry Regulatory Authority in a disciplinary action? Read More

  • Features

    Compliance Clinic: The Travel Act & Anti-Graft Compliance

    Thursday, October 20, 2011 5:40 PM
    The Foreign Corrupt Practices Act is one of the most effective anti-corruption weapons in the arsenal of the U.S. Department of Justice. But for all its power, the FCPA has a blind spot: while the Act prohibits payments to foreign public officials, it does not have any restrictions on private commercial bribery overseas. Read More

  • Features

    Regulatory Talk: Bruce Karpati, SEC

    Friday, October 07, 2011 10:17 AM
    Bruce Karpati, co-chief of the specialized asset management unit in the Securities and Exchange Commission’s Division of Enforcement, has headed up a variety of enforcement initiatives including a mutual fund fee review and a probe of high-frequency trading practices at investment fund firms. Read More

Rule Docket– An at-a-glance listing of key upcoming regulations, so you know what to do, and when, over the coming weeks.

Regulator Guidance Hub -- A one-stop, online hub of recent no-action letters and regulator guidance documents impacting asset managers and brokers.

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From around the web

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  • Financial Times

    FSA To Tighten Listing Regime

    The U.K. Financial Services Authority has proposed big changes to rules for listing companies in the country that will see a clampdown on “back door” routes for inclusion into blue-chip indices such as the FTSE 100.

  • Financial Times

    U.K. Leader Criticizes Financial Tax

    David Cameron, the U.K. prime minister, reopened tensions with the French and German governments when he said the economic design of the Euro zone was seriously flawed and described as “madness” plans for a European tax on financial transactions.

  • Bloomberg

    FBI Searches Firm’s Wall Street Office

    Federal Bureau of Investigation agents have searched the Manhattan office of reverse merger advisory firm New York Global Group, according to an FBI spokesman.

  • Wall Street Journal

    Europe Frets Impact Of Volcker Rule

    The European Commission will complain to U.S. Treasury Secretary Timothy Geithner that the proposed Volcker rule may discourage banks from trading European sovereign bonds, potentially increasing funding costs for the region’s governments and worsening its credit crunch.

  • Reuters

    Senate Probes HSBC For Money Laundering

    HSBC Holdings is under investigation by a U.S. Senate panel in a money laundering inquiry, according to people familiar with the matter and a company securities filing.

  • Bloomberg

    SEC Defends Settlement Approach

    Securities and Exchange Commission attorneys have argued that U.S. District Judge Jed Rakoff erred in determining that courts must find its proposed settlements with companies to be “in the public interest” to win approval.

  • Wall Street Journal

    FSA Fines Fund Manager Over Insider Trading

    The U.K. Financial Services Authority has fined David Einhorn and his firm Greenlight Capital a combined $11.2 million for allegedly trading on information Einhorn received in a 2009 conference call about a stock offering by Punch Taverns.

  • Reuters

    EU Ministers Said To Breach Derivatives Impasse

    EU countries have broken a deadlock in talks over regulatory reforms for the region’s derivatives market, as the French and U.K. governments resolved a turf war over how much say an EU regulator can have over national markets, according to diplomatic sources.

  • Wall Street Journal

    Fortress CEO Resigns Amid Probe

    Daniel Mudd, CEO of Fortress Investment Group, has resigned from the hedge fund firm and its board, little more than a month after regulators sued him over alleged civil securities fraud.

  • Retuers

    Reg: Don't Overreact To Derivatives Concerns

    Acting Comptroller of the Currency John Walsh warned that comments by Warren Buffett and others about the dangers of derivatives might spark a regulatory overreaction and hurt banks' ability to manage risk.

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