Journal of Securities Law, Regulation & Compliance
Journal of Securities Law, Regulation & Compliance is the major new professional journal publishing peer-reviewed briefings on new developments in securities regulation and law, as well as new thinking in legal and regulatory risk management for securities.
Published quarterly and guided by an expert Editorial Board of leading legal advisors, regulators and in-house counsel, each 100-page issue contains analytical briefings on securities law, regulatory developments, the supervision, inspection and enforcement priorities of regulators and practical guidance on compliance.
In addition to examining emerging issues and real-life problems in the current market the Journal provides a high quality forum for the exchange of new thinking and practice between regulated institutions, regulators and their legal advisors, helping each listen in on the conversations the others are having about legal and regulatory issues.
Each issue contains actionable advice and ‘lessons learned’ from fellow professionals on:
- securities law
- regulatory initiatives
- securities litigation and arbitration
- supervision, oversight and enforcement
- emerging and potential liabilities
- legal and regulatory risk management
- policy making
- cross-border regulation
- compliance monitoring
- inspections, audits and inquiries
- managing compliance costs
- seeking regulatory relief or interpretations
- internal and external reporting
- taking corrective actions
Each issue of Journal of Securities Law, Regulation & Compliance publishes:
Detailed legal analysis – in-depth scrutiny of new developments in securities law and regulation in key jurisdictions with actionable advice on their impact to the markets, emerging and potential liabilities, effective legal and regulatory risk management and compliance issues. Authors from recent and forthcoming issues include those from: Baker & McKenzie; Cadwalader, Wickersham & Taft; Cleary Gottlieb Steen & Hamilton; Clifford Chance; Davis Polk & Wardwell; Latham & Watkins; Morrison & Foerster; Nabarro; Shearman & Sterling; Simmons and Simmons; SJ Berwin; WilmerHale.
Insight into regulators’ current thinking and priorities – detailed articles reveal the current priorities of securities regulators including policy, supervision, inspection and enforcement. Recent and forthcoming issues have included articles by senior regulators from: European Central Bank; European Commission; Federal Reserve Bank of New York; FSA; FINRA; US Department of Justice; US Securities and Exchange Commission; US Sentencing Commission; US Treasury.
Case studies by in-house compliance and legal officers – authors from regulated institutions show the practical steps they have taken to manage legal and regulatory risk and address compliance challenges in the current market. Authors from recent and forthcoming issues include in-house counsel from: ABN AMRO; Allianz Global Investors; Citigroup; Cramer Rosenthal McGlynn; Deutsche Bank; DIAM; Eaton Vance; ING; New Mountain Capital; Nordea Bank; Northwestern Mutual Life Insurance; RAB Capital; RBC; Schroder Investment Management; Wachovia.
Applied research from leading law schools and universities - Authors from recent and forthcoming issues include leading academics from: Cardozo School of Law; Hofstra University School of Law; St. John's University School of Law; University of Akron School of Law; University of Bristol; Villanova University School of Law.
Essential reference material for Departmental Heads, Managing Directors, Directors, VPs, SVPs, EVPs and Senior Managers including:
- Chief compliance officers
- Compliance officers
- Legal officers
- Regulators including supervision, oversight, inspection and enforcement
- Internal and external auditors
- General counsel
- Anti money laundering officers; as well as
- Attorneys
- Law enforcement/intelligence agents
- Prosecutors
- Forensic accountants
- Academics and educators
Based at:
- Investment managers
- Local and global custodian banks
- Broker-dealers
- Fund administrators
- Hedge funds
- Law firms
- Securities commissions
- Financial regulators
- Central banks
- Exchanges
- Clearing houses
- Depositories
- Law schools and universities
- Service providers, vendors and consultants