Table of contents
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Deregulation and pre-emption of state regulatory authority and the global financial meltdown: Why responsible regulatory reform requires restoration of state authority
Denise Voigt Crawford, Texas State Securities Board Commissioner and President, North American Securities Administrators Association
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Securities fraud investigations, securities class actions and derivative litigation: Suggestions for cost-effective management
Scott B. Schreiber, Senior Partner and Andrew T. Karron, Partner, Arnold & Porter
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The impact of email on broker-dealers
Linda Riefberg, Chief Counsel and VP, FINRA
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Developing effective compliance training for registered investment advisers
Tammy Eisenberg, Chief Compliance Officer and General Counsel, DIAM USA
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Private fund manager regulation: US and European initiatives compared
Nathan Greene, Partner and John M. Adams, Senior Associate, Shearman & Sterling
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Understanding the potential and limits of investment adviser advertising
Zachary S. Rosenberg, Associate and Michelle L. Jacko, Managing Partner, jacko Law Group
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Developments involving shareholder access and proxy statement disclosure
Gregory R. Samuel, Partner, Bill Nelson, Partner and William Stafford, Associate, Haynes and Boone
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How hedge fund advisers can reduce insider trading risk
Andrew Vollmer, Partner, Securities Litigation and Enforcement Group, WilmerHale
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How to ensure that the fund contractual provisions of the depositary duties are met at any time
John Hamrock, Partner, Kinetic Partners
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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, SVP, RBS
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Taming the efficient frontier: When should a trust fiduciary be required to use derivatives?
Richard Magrann-Wells, SVP and Financial Services Practice Leader, Willis Insurance
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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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Compliance risk: A critical business risk for asset managers
Yvonne Pytlik, Managing Partner and Jennifer Myers, Managing Partner, Global Compliance Risk Management
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English court favoured as the wave of credit crunch litigation starts to hit the shores
Jonathan Brogden and Ceri Jones, Davies Arnold Cooper
Volume Three Number One (January 2010)
Volume Two Number Four (September 2009)
- Removing toxic assets from balance sheets: Structures using the good bank-bad bank model
Anna Pinedo, Partner, Morrison & Foerster
- The FSA gets tough on financial crime
Roland Nattrass, Senior Associate, Nabarro
- D&O coverage of securities manipulation claims: Valuing subprime assets in an illiquid market
Edward O’Gorman, Partner, Wilson Elser Moskowitz Edelman & Dicker
- When may investment advisors serve as lead plaintiffs in securities class actions?
Mitchell Lowenthal, Partner, Joon Kim and Valerie Schuster, Cleary Gottlieb Steen & Hamilton
- Decisions on shareholder standing impacts derivative actions post-merger
Eric Waxman, Partner, Skadden, Arps, Slate, Meagher & Flom
- An argument for reduced dependence on materiality in dismissing frivolous lawsuits
Stefan J. Padfield, Assistant Professor of Law, University of Akron School of Law
- Index adjusted portfolio damages in securities and investment fraud litigation
Laurence Steckman, Partner, Lester Schwab Katz & Dwyer and Robert E. Conner, Thornapple Associates
Volume Two Number Three (June 2009)
- Credit default swaps after the global banking crisis: Regulatory responses and industry initiatives
Nick Shiren, Partner, Assia Damianova, Special Counsel and Marco Crosignani, Associate, Cadwalader Wickersham & Taft
- Post-Tellabs treatment of confidential witnesses in US federal securities litigation
Richard M. Heimann, Partner, Joy A. Kruse, Partner and Sharon M. Lee, Associate, Lieff, Cabraser, Heimann & Bernstein
- Counsel's professional responsibility to provide quality assurance in electronic discovery
Beryl Howell, Commissioner, US Sentencing Commission
- Proxy voting and the disclosure of conflicts of interest: A recent enforcement actions under the US Investment Advisers Act
Steven M. Felsenthal, Chief Compliance Officer, Millburn Ridgefield Corporation and Gary Guttenberg, Brooklyn Law School
- Stock options backdating settlements and corporate governance
Eric Zagar, Partner, Schiffrin Barroway Topaz & Kessler
- The Paulson Report reconsidered: How to fix securities litigation by converting class actions into issuer actions
Richard A. Booth, Professor, Villanova University School of Law
- Notable developments in the regulation and enforcement of financial markets in 2008
Gregory A. Markel, Chairman and Douglas I. Koff, Partner, Litigation Department, Cadwalader, Wickersham & Taft
Volume Two Number Two (March 2009)
- The mitigation of damages in securities and commercial litigation and arbitration
Laurence Steckman, Partner, Lester Schwab Katz and Dwyer, Robert E. Conner and Courtney B. Bellaire, Thornapple Associates
- Risk management in UCITS Funds
Andrew O'Callaghan, Partner and Deirdre McManus, Manager, Regulatory Compliance Services, PricewaterhouseCoopers
- Navigating the increased anti-corruption environment in the US and abroad
Roger M. Witten, Partner and Thomas J. Koffer, Counsel, WilmerHale
- PRC tax implications in connection with QFIIs
Khoonming Ho, Partner and Head of Tax and Simon Liu, Tax Manager, KPMG Huazhen
- Time to prepare for a potential proxy contest
Gregory V. Varallo, Director, David Schmerfeld, Corporate Litigation Associate and Peter Wood, Corporate Litigation Associate, Richards Layton & Finger
- When does the Investment Advisers Act Solicitation Rule apply to hedge fund managers? New SEC guidance
Steven Felsenthal, General Counsel & Chief Compliance Officer, Millburn Ridgefield Corp
- The changing corporate governance scene in Ireland for offshore financial services
Kevin O’Doherty, Principal, Compliance Ireland Regulatory Services
- China's QFII regime: Compliance risks and possible changes
James Walker, Partner, Mark Shipman, Partner, Yang Tie Cheng, Counsel and Fan Zhibin, Associate, Clifford Chance
Volume Two Number One (November 2008)
- The US Treasury’s blueprint for financial services regulatory restructuring: An unstable foundation for investor protection?
Karen Tyler, Commissioner, North Dakota Securities Commission
- Examining alternative strategies within the context of UCITS III regulations
Joelle Hauser, Partner and Marie Petit, Associate, Clifford Chance
- Anti-money laundering issues for US-based securities firms: Unique and not so unique challenges
Rachel Raemore-Romjin, Anti-Money Laundering Compliance Director, Capital Management and Wealth Management Groups, Wachovia
- Suspicious Activity Reports: How the government protects these valuable tools
Lester Joseph, Principal Deputy Chief, Asset Fortfeiture and Money Laundering Section, US Department of Justice
- Customer portfolio margin: Myth and reality
Peter Von Maur, Director & Senior Counsel and Cameron Mott, RBC Capital Markets
- Performance management in internal audit: Implementation, merits and challenges in a medium-sized audit department
Klaus Lendle, Head of Internal Audit, Allianz Global Investors
- Averting over-prescription of UK corporate governance norms
Marc Moore, Lecturer, School of Law, University of Bristol
- How to prepare for and survive an SEC examination
Steven Yadegari, SVP and General Counsel, Cramer Rosenthal McGlynn
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, Market Infrastructure and Michelle Saaf, SVP & Head of Infrastructures, Securities, 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 and Noreen Kelly-Najah, Partner, Latham & Watkins
- 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
- 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 and Soo Yim, Partner, Securities Department, WilmerHale
- Criminal prosecution of banks under the Bank Secrecy Act
Lester Joseph, Principal Deputy Chief, Asset Fortfeiture and Money Laundering Section and 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 and Risk Division, Virginie Mennesson, Peter Parker and John-Paul Dryden, Financial Services Authority
Volume One Number Two (February 2008)
- Eliminating influence by and on the research analyst: Recent enforcement activity and current regulatory priorities
Linda Riefberg, VP, Enforcement Department, FINRA
- Progress and challenges to integration in the European securities industry
Gerard Hartsink, Senior EVP, Market Infrastructures and 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 and 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 and 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 and Dispute Resolution Group, Mayer Brown
- TARGET2-securities: Integrating the securities market infrastructure
Marc Bayle, T2S Programme Manager and 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 and 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
- Fund mergers and pooling: Challenges and opportunities for UCITS
Richard Pettifer, Director and Nathan Hall, Financial Advisory Practice, 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 and 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 Sunner, Director, Global Compliance and Risk Management, US Treasury Office of Financing and Oliver Giannotti, Officer, Markets Group, Federal Reserve Bank of New York