Journal of Securities Law, Regulation & Compliance

Table of contents

Volume One Number Three (May 2008)

Emerging issues and potential liabilities

• Policy priorities for European banks in the financial markets in 2008 and beyond
  Sonja Lohse, Head of Group Compliance, Nordea Bank AB
• Recent developments in the enforcement of the Foreign Corrupt Practices Act
  David Brodsky, Partner, Douglas Greenburg, Partner & Noreen Kelly-Najah, Partner, Latham & Watkins LLP
• Recent developments in US securities arbitration and their implications for the industry
  Scott Colesanti, Special Professor, Hofstra University School of Law

Best practice in compliance

• Hedge fund organizational decisions and how they affect the sponsor’s compliance needs
  Azam Aziz, Partner, Nathan Greene, Partner & Gretchen Liersaph, Associate, Shearman & Sterling LLP
• Two sides of the same coin? Compliance and operational risk in the post-MiFID world
  Gary Pitts, Chief Compliance Officer, RAB Capital
• A practical approach to electronic document retention and storage
  Brian Johnson, Associate & Soo Yim, WilmerHale

Regulator views/perspectives

• 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
• Setting the FSA’s more principles-based regulation in an international context
  Verena Ross, Director, Strategy & Risk Division, Virginie Mennesson, Peter Parker, Manager, EU Team, International Strategy & Policy Co-ordination & John-Paul Dryden, Special Advisor, International Strategy & Policy Co-ordination, Financial Services Authority

Volume One Number Two (February 2008)

Best practice in compliance

• Practicalities and pitfalls of electronic records – translating regulations and interpretations into workable document retention policies
  Patrick C. Gordon, Compliant Systems Consulting, Eriks Rancans, VP, Internal IT Audit Manager, Eaton Vance & Michael McCabe, Partner, IBM Global Business Services

Meeting new requirements

• Progress and challenges to integration in the European Securities industry
  Gerard Hartsink, Senior Executive Vice President, Market Infrastructures & Carlo de Meijer, Senior Researcher, ABN AMRO
• Rule 159 and securitisation transactions  
  Myongsu Kong, Director and Counsel, Citigroup Global Markets
• Revenue sharing disclosure trends and potential requirements under pending US rule proposals
  Paul Schreiber, Partner, Nathan J. Greene, Partner & John D. Jackson, Shearman & Sterling

MiFID implementation

• MiFID: A strategic overview of the key implementation challenges for firms        
  Lawrence White, Internal Market and Services Directorate, European Commission, Jiri Krol, Ministry of Finance of the Czech Republic & Radostina Ivanova, European Parliament, DG Presidency
• Record Keeping under MiFID and the FSA's proposals on telephone recording - widening the horizon?
  Ed Sautter, Partner, Litigation & Dispute Resolution Group, Mayer Brown

Regulator views/perspectives

• Eliminating influence by and on the research analyst - recent enforcement activity and current regulatory priorities
  Linda Riefberg, Vice President, Enforcement Department, FINRA
• TARGET2-securities – integrating the securities market infrastructure    
  Marc Bayle, T2S Programme Manager & Katri Mikkonen, European Central Bank

Volume One Number One (October 2007)

Best practice in compliance

• Undertaking compliance risk assessments and mitigation processes – case study of current practice at Deutsche Bank
  Hagen Repke, Head of Regional Compliance, Deutsche Bank
• 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
  

Meeting new requirements

• UCITS & EC investment fund legislation – practical compliance issues and barriers involved in facilitating fund mergers and pooling and the EC Exposure Draft
  Nathan Hall & Richard Pettifer, KPMG
• Marketing hedge funds in the USA – current and unresolved compliance issues
  Steven Felsenthal, General Counsel and Chief Compliance Officer, Millburn Ridgefield Corp
• Key components of an effective compliance programme for broker-dealers deemed trading centres under Regulation NMS
  Howard L. Kramer, Partner, Schiff Hardin
  

MiFID implementation

• Complying with MiFID’s best execution requirements – the practical issues and competitive challenges
  Gary Pitts, Compliance Officer, Brevan Howard Asset Management
• Implementing MiFID for investment firms – many challenges but how many opportunities?
  Roger Turner, Partner, PricewaterhouseCoopers
  

Regulator views/perspectives

• NASD/NYSE rule harmonisation – what do the changes mean in practice?
  William Jannace, Managing Director; Stephen Kasprzak, Principal Counsel; Gregory Taylor, Principal Rule Counsel; Cory Figman, Senior Special Counsel; Erika Lazar, Senior Staff Attorney; Michael Troha, Staff Attorney, Member Regulation, FINRA
• US Treasury auction compliance – how ‘dealer visits’ are conducted, what is discussed and Treasury expectations for auction participation 
  Michael W. Sunner, Director, Global Compliance & Risk Management, United States Treasury Office of Financing; Oliver Giannotti, Officer, Markets Group, Federal Reserve Bank of New York