...Katherine Kirkpatrick; Aaron Stephens; Jacob Gerber; Margaret Nettesheim; Sebastian Bellm Purpose To evaluate the global anti-money laundering regulation of digital assets and cryptocurrencies. Design/methodology/approach This article provides an analysis of macro trends in digital asset money...

... regimes, as well as practical implications for fund managers, with respect to (1) the regulatory frameworks governing the funds; (2) the definitions of the types of funds covered by the regulations; (3) registration requirements and associated timing; (4) operating requirements, including responsibilities...

...Jurgita Miseviciute Purpose This paper aims to explain the current stage of blockchain and virtual currency regulation in the EU. Design/methodology/approach The paper explains the current state of blockchain and virtual currency regulation in the EU, presenting the EU institutions’ main...

... placements Margin requirements Trading and quotation halts Mortgage‐backed securities Securities Regulation On December 3, 2012, when the new filing system becomes operational, firms that file offering documents pursuant to Rule 5122 must use the new filing system. Firms are reminded that filings...

...Tim Aron; Nathaniel Lalone; Carolyn Jackson Purpose The purpose of this paper is to explain the European Market Infrastructure Regulation, known as EMIR, adopted on July 4, 2012 as the Regulation on OTC Derivatives, Central Counterparties and Trade Repositories. Design/methodology/approach...

...Ira Bogner; Robert Projansky; Steven Weinstein; Adam Scoll Purpose The purpose of this paper is to explain the US Department of Labor's final regulations under Section 408(b)(2) of ERISA, concerning the fact that information investment advisers to ERISA‐covered pension plans and private investment...

... Authors 2012 Confidentiality agreements Use restrictions Goodrich Capital Corporate ventures Privacy Regulation A recent decision in the Southern District of New York again highlights the importance of careful review and negotiation of confidentiality agreements. In Goodrich Capital...

... Securities and Exchange Commission Communications Short interest Interest Regulation NASD Rules 2210 and 2211, and the Interpretive Materials that follow Rule 2210, generally govern all FINRA member firms' communications with the public. Incorporated NYSE Rule 472 governs communications...

...Richard J. Parrino; Peter J. Romeo Purpose The purpose of this paper is to review the principal provisions of the Jumpstart Our Business Startups (JOBS) Act, which was enacted in April 2012 and represents significant legislative reform of securities regulation in the USA. Design/methodology...

... responsibilities, particularly those in FSA regulated firms, will clearly welcome the High Court's clarification in Shah much more than the confirmation of the FSA's expectations and approach in the action against Mr Hussain. However, both decisions provide a useful reminder of the range of criminal, civil...

... Securities Rulemaking Board Securities and Exchange Commission Underwriter disclosure United States of America Disclosure Regulation On May 4, 2012, the Securities and Exchange Commission approved a new Municipal Securities Rulemaking Board interpretive notice [1] (the “notice”) regarding MSRB...

...Mark Shipman Purpose The paper aims to explain regulatory issues and considerations as to future regulatory changes that Chinese regulators may implement with regard to the Qualified Foreign Institutional Investor (QFII) regime. Design/methodology/approach The paper describes: the regulators...

... Authority Securities and Exchange Commission Telemarketing Suitability Regulation United States of America Questions concerning this notice should be directed to: Gary L. Goldsholle, Vice President and Associate General Counsel, Office of General Counsel (OGC), at (202) 728‐8104...

... and Exchange Commission United States of America Communication Recordkeeping Broker‐dealer Regulation 1. “Retail communication” is defined as “any written (including electronic) communication that is distributed or made available to more than 25 retail investors [2] within any 30 calendar‐day...

... Lehman Securities Contracts Regulation On December 8, 2011, the United States Bankruptcy Court for the Southern District of New York entered a memorandum decision in favor of the trustee for the liquidation of Lehman Brothers Inc. in a dispute regarding the status and treatment of claims relating...

.... © Emerald Group Publishing Limited 2012 Securities and Exchange Commission Dodd‐Frank Act Investment advisers Dollar thresholds Investments Regulation On February 15, 2012, the Securities and Exchange Commission (the “Commission”) adopted amendments to Rule 205‐3 under...

... requirements; discusses Dodd‐Frank Act changes to existing securities laws and regulations, including with respect to large trader reporting and investment advisers; highlights some of the concerns raised by MF Global, Inc.’s collapse; and describes recent tax law developments. Findings The paper reveals...

... Securities and Exchange Commission Financial Industry Regulatory Authority Investment adviser Social media Investments Regulation United States of America The SEC's Office of Compliance Inspections and Examinations (“OCIE”) on January 4, 2012 released a National Examination Risk Alert...

...Roger S. Wise; Mary Burke Baker Purpose The purpose of this paper is to explain the proposed Foreign Account Tax Compliance Act (FATCA) regulations released on February 8, 2012 by the US Treasury Department and the Internal Revenue Service (IRS). Design/methodology/approach The paper provides...

.... Sobol can be contacted at: robertnormansobol@gmail.com © Emerald Group Publishing Limited 2012 Mutual funds Tax regulations Distribution UCITS Registration requirements Unit trusts Taxes Regulation In the past few years, pooled investment vehicles have made a big splash...