Journal of Securities Law, Regulation & Compliance

Table of contents

Volume One, Number Four (August 2008)

Volume One, Number Three (May 2008)

Volume One, Number Two (February 2008)

Volume One, Number One (October 2007)

Volume One Number Four (August 2008)

• When does a bank act as a carrying broker? A still unanswered question from the Gramm-Leach-Bliley Act
  Stephen Keen, Partner, Reed Smith
• TARGET-2-Securities: A major contribution to financial integration?
  Yvon Lucas, Director, Payment Systems and Market Infrastructure Department, Banque de France
• The credit crunch and rating agencies: Are they really striving towards more transparency?
  Carlo de Meijer, Senior Researcher, ABN AMRO
• Enhancing governance, risk and compliance at alternative investment management companies: Leveraging the roles of regulatory compliance and internal audit
  Christina Patilis, Managing Director, Internal Audit Services Practice, PricewaterhouseCoopers
• A brief guide to the impact of fixed-income swaps on investment compliance
  Marcia Clark, Global Program Director, Allianz Global Investors
• Financial Services: A long way towards a single European regulator?
  Stephane Janin, Director, Head of International Affairs Division, Association Française de la Gestion financière
• How to document energy commodity transactions
  Charles Cerria, Associate General Counsel – Trading, Hess
• Investment fund governance in Canada: Early observations on the implementation of National Instrument 81-107
  Mark Pratt, Partner, McMillan

Volume One Number Three (May 2008)

• Policy priorities for European banks in the financial markets in 2008 and beyond
  Sonja Lohse, Head of Group Compliance, Nordea Bank
• Recent developments in the enforcement of the Foreign Corrupt Practices Act
  David Brodsky, Partner, Douglas Greenburg, Partner & Noreen Kelly-Najah, Partner, Latham & Watkins LLP
• Recent developments in US securities arbitration and their implications for the industry
  Scott Colesanti, Special Professor, Hofstra University School of Law
• Hedge fund organisational decisions and how they affect the sponsor’s compliance needs
  Azam Aziz, Partner, Nathan Greene, Partner & Gretchen Liersaph, Associate, Shearman & Sterling LLP
• Two sides of the same coin? Compliance and operational risk in the post-MiFID world
  Gary Pitts, Chief Compliance Officer, RAB Capital
• A practical approach to electronic document retention and storage
  Brian Johnson, Associate & Soo Yim, WilmerHale
• Criminal prosecution of banks under the Bank Secrecy Act
  Lester Joseph, Principal Deputy Chief & John Roth, Acting Deputy Assistant Attorney General, US Department of Justice
• Setting the FSA's principles-based approach to regulation in the international context
  Verena Ross, Director, Strategy & Risk Division, FSA

Volume One Number Two (February 2008)

• Eliminating influence by and on the research analyst: Recent enforcement activity and current regulatory priorities
  Linda Riefberg, Vice President, Enforcement Department, FINRA
• Progress and challenges to integration in the European securities industry
  Gerard Hartsink, Senior Executive Vice President, Market Infrastructures & Carlo de Meijer, Senior Researcher, ABN AMRO
• Revenue sharing disclosure trends and potential requirements under proposed US mutual fund and broker-dealer regulations
  Paul Schreiber, Partner, Nathan J. Greene, Partner & John D. Jackson, Shearman & Sterling
• Rule 159 and securitisation transactions  
  Myongsu Kong, Director and Counsel, Citigroup Global Markets
• MiFID: A strategic overview of the key implementation challenges for firms        
  Lawrence White, Internal Market and Services Directorate, European Commission, Jiri Krol, Ministry of Finance of the Czech Republic & Radostina Ivanova, European Parliament, DG Presidency
• Practicalities and pitfalls of electronic records: Translating regulations and interpretations into workable document retention policies
  Patrick C. Gordon, Compliant Systems Consulting, Eriks Rancans, VP, Internal IT Audit Manager, Eaton Vance & Michael McCabe, Partner, IBM Global Business Services
• Record keeping under MiFID and the FSA's proposals on telephone recording - widening the horizon?
  Ed Sautter, Partner, Litigation & Dispute Resolution Group, Mayer Brown
• TARGET2-securities – integrating the securities market infrastructure    
  Marc Bayle, T2S Programme Manager & Katri Mikkonen, European Central Bank

Volume One Number One (October 2007)

• How broker-dealers can adapt compliance policies and procedures to accommodate changing business and regulatory requirements
  Peter von Maur, Director & Senior Counsel, RBC Capital Markets
• Key components of an effective compliance programme for broker-dealers deemed trading centres under Regulation NMS
  Howard L. Kramer, Partner, Schiff Hardin
• UCITS & EC investment fund legislation: Practical compliance issues and barriers involved in facilitating fund mergers and pooling and the EC Exposure Draft
  Nathan Hall & Richard Pettifer, KPMG
• NASD/NYSE rule harmonisation: What do the changes mean in practice?
  William Jannace, Managing Director; Stephen Kasprzak, Principal Counsel; Gregory Taylor, Principal Rule Counsel; Cory Figman, Senior Special Counsel; Erika Lazar, Senior Staff Attorney; Michael Troha, Staff Attorney, Member Regulation, FINRA
• Undertaking compliance risk assessments and mitigation processes
  Hagen Repke, Head of Regional Compliance, Deutsche Bank
• Implementing MiFID for investment firms: Many challenges but how many opportunities?
  Roger Turner, Partner, PricewaterhouseCoopers
• Marketing hedge funds in the USA: Current and unresolved compliance issues
  Steven Felsenthal, General Counsel and Chief Compliance Officer, Millburn Ridgefield Corp
• Complying with MiFID’s best execution requirements: The practical issues and competitive challenges
  Gary Pitts, Compliance Officer, Brevan Howard Asset Management
• US Treasury auction compliance: How ‘dealer visits’ are conducted, what is discussed and Treasury expectations for auction participation 
  Michael W. Sunner, Director, Global Compliance & Risk Management, United States Treasury Office of Financing; Oliver Giannotti, Officer, Markets Group, Federal Reserve Bank of New York