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Issue
13 March - Volume 10, Issue 1, Pages 4 - 71
12 June - Volume 10, Issue 2, Pages 4 - 75
11 September - Volume 10, Issue 3, Pages 5 - 72
20 November - Volume 10, Issue 4, Pages 6 - 83
Volume 10, Issue 3
11 September 2009
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ISSN
1528-5812
EISSN
1758-7476
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Henry A. Davis
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EU proposes directive on alternative investment fund managers
Peter Bibby
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Helen Marshall
;
Christopher Leonard
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SEC proposes investment adviser custody rule amendments to enhance safekeeping and oversight of client assets
Lauren Blumenthal Kleiman
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for SEC proposes investment adviser custody rule amendments to enhance safekeeping and oversight of client assets
Summary of selected FINRA Regulatory Notices, April‐June 2009
Henry A. Davis
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Financial services firms face increased pressures on anti‐corruption compliance
Matt T. Morley
;
Jeffrey B. Maletta
;
Michael J. King
;
Robert V. Hadley
;
Matthew J. Fader
;
Brian F. Saulnier
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OTC derivatives: proposed legislative and regulatory efforts to impose a more rigid regulatory structure
Joel Telpner
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Jamila Piracci
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for OTC derivatives: proposed legislative and regulatory efforts to impose a more rigid regulatory structure
Fraud Enforcement and Recovery Act of 2009: Congress amends money laundering and criminal fraud statutes to expand their scope and penalties
Howard W. Goldstein
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for Fraud Enforcement and Recovery Act of 2009: Congress amends money laundering and criminal fraud statutes to expand their scope and penalties
New CfD disclosure regime comes into force on June 1, 2009
Chris Bates
;
Carlos Conceicao
;
Mark Poulton
;
David Pudge
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Amendments to the Capital Requirements Directive adopted by European Parliament
Kevin Hawken
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Miles Bake
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for Amendments to the Capital Requirements Directive adopted by European Parliament
Under the microscope: valuation and hedge funds
Benjamin J. Haskin
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Joseph G. Davis
;
Jocelyn C. Flynn
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