Just a selection of the peer-reviewed articles, briefings and case studies already scheduled for publication in Volume 3 include:
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The regulation of short sales in the USA: Recent SEC actions and future prospects
Annette Nazareth, Partner, Robert Colby, Counsel and Zoe Maddox, Associate, Financial Institutions Group, Davis Polk & Wardwell
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New expectations for heightened due diligence of sub-advisors
Kevin M. Gleason, Assistant General Counsel & Assistant Secretary and Brad Eull, Counsel, Northwestern Mutual Life Insurance Company
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The conceptual framework and methodological tools that support risk-based supervision
Jeanne Balcom, Senior Director, FINRA
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The SEC just called about our valuation methodology: What do we do now? A framework for responding to a corporate crisis
Bill McLucas, Partner and Chair, Securities Department and Laura Werthheimer, Partner, WilmerHale
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Regulatory developments in relation to risk management
Marco Zwick, Global Head of Compliance and Head of Risk for Continental Europe, Schroder Investment Management
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Managing intersecting prosecutions by federal and state regulators
Alexander Vasilescu, Regional Trial Counsel, New York Regional Office, US Securities and Exchange Commission
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Current developments in insider trading regulation and enforcement
David M. Brodsky, Partner, Maria A. Barton, Counsel and Richard D. Owens, Partner, Latham & Watkins
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How have deregulation and preemption of state regulatory authority contributed to the severity of the financial meltdown?
Denise Voigt Crawford, NASAA President and Texas Securities Commissioner
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A road-map to rock-solid risk assessment
Robert Tull, VP and Compliance Officer, ING Clarion Real Estate Securities
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SEC exams: Preparing for examiners’ changing focus
Richard Marshall, Partner, Investment Management and Securities Litigation, Ropes & Gray
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Mutual recognition of the EU with non-EU jurisdictions and the transatlantic dialogue: The concept and its progress
Carlo de Meijer, Senior Researcher, Market Infrastructure and Michelle Saaf, RBS
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Litigating offset arguments in compensatory damage litigation and lead plaintiff motion practice: Are inconsistent outcomes reconcilable?
Laurence A. Steckman, Partner, Lester Schwab Katz and Dwyer and Robert E. Conner, Thornapple Associates
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Navigating regulatory investigations while keeping costs down
Scott B. Schreiber, Partner, Arnold & Porter
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Latest thinking in Chief Compliance Officer liability
Paula Bosco, Director of Compliance, New Mountain Capital
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A comparative analysis of pending US and EU investment fund manager regulatory reforms
Nathan Greene, Partner, Shearman & Sterling
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Taming the efficient frontier: When should a trust fiduciary be required to use derivatives?
Richard Magrann-Wells, Boston University School of Law
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The 'three Rs' of email issues in the securities industry: Retain, review and revealing evidence
Linda Riefberg, Chief Counsel and VP, FINRA
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Innovative techniques to spruce up your compliance training
Tammy Eisenberg, Chief Compliance Officer and General Counsel, DIAM USA
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Chief Compliance Officer liability: Where your risks lie and what you can do about them
David W. Blass, Special Counsel and Gregory Bruch, Securities Litigation Partner, Willkie Farr & Gallagher
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Similarities and differences on the US, UK and German insider trading regulations
Scott Colesanti, Special Professor, Hofstra University School of Law
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Changes facing investment advisers and fund managers from the US and non-US firm's perspective
Margaret R.A. Paradis, Partner, Baker & McKenzie
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Secrets to successful forensic testing
Mark Schein, Chief Compliance Officer, York Capital
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Criminal and administrative risk in market misconduct cases: A comparative study of the law and practice in the UK, Italy and France
Richard Sims, Luca Basilio, Dominique Lepagnot and Eric Boillot, Senior Associates, Simmons and Simmons
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Assessing the shotgun volley of SEC market structure proposals
Howard L. Kramer, Partner, Schiff Hardin
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Developments involving shareholder access and proxy statement disclosure
Gregory R. Samuel, Partner, Haynes and Boone
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How to ensure that fund contractual provisions of depository duties are met at any time
John Hamrock, Partner, Kinetic Partners
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Thorny issues encountered when negotiating ISDA master agreements
Thomas D'Ambrosio, Partner, Morgan, Lewis & Bockius
Article submissions are welcome at any time. For details of how to submit an article - and available copy deadlines - please contact the Journal Publisher