Journal of Securities Law, Regulation & Compliance

About the Journal

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 lawyers, regulators, compliance and legal officers, 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 facing regulators and regulated institutions, the Journal provides a high quality forum for the exchange of new thinking and practice, as well as helping lawyers and other advisors listen in on the conversations their clients are having about legal and regulatory issues.

Each issue contains actionable advice and ‘lessons learned’ from fellow professionals on topics including:

• securities law
• securities litigation
• enforcement
• supervision
• emerging and potential liabilities 
• risk assessment and management
• policy making 
• cross-border regulation
• compliance monitoring 
• inspections, audits and inquiries
• managing compliance costs
• seeking regulatory relief or interpretations
• internal and external reporting

Each issue of Journal of Securities Law, Regulation & Compliance publishes:

Detailed legal analysis – authoritative, peer-reviewed articles scrutinise new developments and changes to securities law and regulation in key jurisdictions. Leading legal experts provide actionable advice on their impact to your business, emerging and potential liabilities, effective legal and regulatory risk management and compliance issues.

Reviews of securities law including case law and litigation – assessing trends and evaluating the implications of landmark cases.

Regulators’ priorities – detailed reviews reveal the current priorities of securities regulators and central bankers including policy, supervision, enforcement and inspection. Senior regulators setting out their vision and requirements include authors from: FINRA; US Department of Justice; US Department of Treasury; Financial Services Authority, European Commission and European Central Bank.

Case studies by compliance and legal officers – authors from regulated institutions show the practical steps they have taken to manage legal and regulatory risk and compliance issues they are facing. Authors include compliance and legal professionals from: Allianz Global Investors; Brevan Howard; Citigroup; Deutsche Bank; Edward Jones; Franklin Templeton Investments; Nordea Bank; NYSE; RAB Capital; RBC and Wachovia.

Essential reference material for Departmental Heads, Managing Directors, Directors, VPs, SVPs, EVPs and Senior Managers including:

• Compliance Officers
• Legal Officers
• Lawyers
• Regulators including those concerned with rule making, supervision, inspection and enforcement
• Internal and external auditors
• In-house counsel
• Anti Money Laundering Officers
• Risk Managers; as well as
• CEOs, CIOs, CFOs, COOs and CROs
• Prosecutors
• Forensic accountants
• Educators

Based at:

• Investment managers
• Law firms
• Regulatory authorities
• Securities commissions
• Central banks
• Custodian banks
• Broker-dealers
• Exchanges
• Fund administrators
• Depositories
• Securities issuers
• Service providers and vendors
• Consultants