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Articles 1 - 5 of 5
Full-Text Articles in Law
Aml In The Spotlight: Compliance Risks For Broker-Dealers And Investment Advisers, John H. Walsh, Cecilia Baute Mavico
Aml In The Spotlight: Compliance Risks For Broker-Dealers And Investment Advisers, John H. Walsh, Cecilia Baute Mavico
The Journal of Business, Entrepreneurship & the Law
In light of regulators' renewed attention, this article discusses recent events, reviews AML enforcement actions against securities firms, and identifies the compliance risks they suggest. The article concludes that the time has come for broker-dealers and advisers alike to take a holistic view of compliance and their AML risks, and to prepare for enhanced oversight and regulation.
Treading Water: Can Municipal Efforts To Condemn Underwater Mortgages Prevail?, Michael S. Moskowitz
Treading Water: Can Municipal Efforts To Condemn Underwater Mortgages Prevail?, Michael S. Moskowitz
Pepperdine Law Review
No abstract provided.
Precluding The Treasure Hunt: How The World Bank Group Can Help Investors Circumnavigate Sovereign Immunity Obstacles To Icsid Award Execution, Joseph M. Cardosi
Precluding The Treasure Hunt: How The World Bank Group Can Help Investors Circumnavigate Sovereign Immunity Obstacles To Icsid Award Execution, Joseph M. Cardosi
Pepperdine Law Review
This Comment highlights the frustrating road that investors travel in search of assets when states do not honor arbitration awards and discusses how the World Bank Group can unify investor–state arbitrations to preclude such hollow victories for investors. Part II introduces the contemporary framework of investor–state arbitration, including an overview of the International Centre for Settlement of Investment Disputes (ICSID or the Centre), a summary of the scope of noncompliance with investor–state arbitration awards, and the unique ICSID enforcement mechanism used to address challenges to awards and noncompliance. Part III provides examples of the challenges investors face in award execution …
Libor: Everything You Ever Wanted To Know But Were Afraid To Ask, Michael R. Koblenz, Kenneth M. Labbate, Carrie C. Turner
Libor: Everything You Ever Wanted To Know But Were Afraid To Ask, Michael R. Koblenz, Kenneth M. Labbate, Carrie C. Turner
The Journal of Business, Entrepreneurship & the Law
The goal of this article is to present the reader with a general overview of the LIBOR: its genesis and development, how and why London bankers manipulated the LIBOR, the liability of implicated parties, criminal penalties, the impact of criminal penalties on director and officer insurance carriers, and what the future holds for the LIBOR.
Drastic Times Call For Drastic Risk Measures: Why Value-At-Risk Is (Still) A Flawed Preventative Of Financial Crises And What Regulators Can Do About It, Andrew L. Mcelroy
Drastic Times Call For Drastic Risk Measures: Why Value-At-Risk Is (Still) A Flawed Preventative Of Financial Crises And What Regulators Can Do About It, Andrew L. Mcelroy
The Journal of Business, Entrepreneurship & the Law
Bank regulators recently proposed the most fundamental reforms to U.S. banking law in decades, yet the value-at-risk statistic--replete with known deficiencies--remains the basis of the capital adequacy requirement. Consequently, there exists an unresolved tension in the law: the purpose of the banking rules is to require riskier financial institutions to hold additional capital, yet the value-at-risk statistic used to make this assessment induces a perverse incentive to hold the riskiest securities. Overlaid on this framework is the wide latitude afforded to banks in designing their value-at-risk models. This Article explores foreseeable issues with the regulatory reliance on value-at-risk. Moreover, it …