Forthcoming content

Just a selection of the peer-reviewed articles, briefings and case studies already scheduled for publication in Volume 1 include:

• Eliminating influence by and on the research analyst – recent enforcement activity and current regulatory priorities
  Linda Riefberg, Vice President, Enforcement Department, FINRA
• Recent developments in the enforcement of the Foreign Corrupt Practices Act
  David Brodsky, Partner, Douglas Greenburg, Partner & Noreen Kelly-Najah, Partner, Latham & Watkins
• 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
• 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
• When does a bank act as a 'carrying broker'? A still unanswered question from the Gramm-Leach-Bliley Act
  Stephen Keen, Partner, Reed Smith
• Setting the FSA's more principles-based approach to regulation in an international context
  Verena Ross, Director, Strategy & Risk Division, Virginie Mennesson, Peter Parker & John-Paul Dryden, Financial Services Authority
• Hedge fund organisational decisions and how they affect the sponsor’s compliance needs
  Azam Aziz, Partner, Nathan Greene, Partner & Gretchen Liersaph, Associate, Shearman & Sterling
• Complying with MiFID’s best execution requirements – the practical issues and competitive challenges
  Gary Pitts, Chief Compliance Officer, RAB Capital
• Recent developments in US securities arbitration and their implications for the industry
  Scott Colesanti, Special Professor, Hofstra University School of Law
• Policy priorities for European banks in the financial markets in 2008 and beyond
  Sonja Lohse, Head of Group Compliance, Nordea Bank
• Key components of an effective compliance programme for broker-dealers deemed trading centres under Regulation NMS
  Howard L. Kramer, Partner, Schiff Hardin
• Undertaking compliance risk assessments and mitigation processes
  Hagen Repke, Head of Regional Compliance, Deutsche Bank
• UCITS & EC investment fund legislation – practical issues and barriers involved in facilitating fund mergers and pooling and the EC Exposure Draft
  Nathan Hall & Richard Pettifer, KPMG
• The mechanics of implementing a good compliance culture
  Kellie Hargraves, Chief Compliance Officer, EMEA, Franklin Templeton Investments
• Investment fund governance in Canada: Early observations on the implementation of national instrument 81-107
  Mark Pratt, Partner, McMillan Binch Mendelsohn
• Rule 159 and securitisation transactions  
  Myongsu Kong, Director and Counsel, Citigroup Global Markets
• Record keeping under MiFID and the FSA's proposals on telephone recording – widening the horizon?
  Ed Sautter, Partner, Litigation & Dispute Resolution Group, Mayer Brown