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Articles 1 - 30 of 121
Full-Text Articles in Law
4th And 205: How A Rush Of Global Comments Blocked The Sec’S First Attempted Punt Of Attorney-Client Privilege Under Sarbanes-Oxley, John Paul Lucci
4th And 205: How A Rush Of Global Comments Blocked The Sec’S First Attempted Punt Of Attorney-Client Privilege Under Sarbanes-Oxley, John Paul Lucci
Touro Law Review
No abstract provided.
International Trade In Services From The Japanese Viewpoint, Masato Dogauchi
International Trade In Services From The Japanese Viewpoint, Masato Dogauchi
Georgia Journal of International & Comparative Law
No abstract provided.
Perspective Of The Private Sector--Banking, F. William Hawley
Perspective Of The Private Sector--Banking, F. William Hawley
Georgia Journal of International & Comparative Law
No abstract provided.
The Development Of A Global Market-Based Debt Strategy To Regulate Private Lending To Developing Countries, Bradley K. Boyd
The Development Of A Global Market-Based Debt Strategy To Regulate Private Lending To Developing Countries, Bradley K. Boyd
Georgia Journal of International & Comparative Law
No abstract provided.
The Risk Of Money Laundering Through Crowdfunding: A Funding Portal's Guide To Compliance And Crime Fighting, Zachary Robock
The Risk Of Money Laundering Through Crowdfunding: A Funding Portal's Guide To Compliance And Crime Fighting, Zachary Robock
Michigan Business & Entrepreneurial Law Review
With the recent passage of the Jumpstart Our Business Startups Act (“JOBS Act”) and proposed regulations, equity crowdfunding is poised to play an important role in fundraising for many types of emerging growth companies. A fundamental purpose of crowdfunding is to reduce economic barriers to capital markets for emerging growth companies, in part by relaxing rigorous information disclosure requirements currently mandated by the Securities and Exchange Commission (“SEC”). Relaxed regulation should help reduce the cost of fundraising, but it will also present certain risks. Investor fraud is a common concern, which is addressed at length in the JOBS Act and …
Surveillant And Counselor: A Reorientation In Compliance For Broker-Dealers, James A. Fanto
Surveillant And Counselor: A Reorientation In Compliance For Broker-Dealers, James A. Fanto
BYU Law Review
This Article argues that the compliance officer should play a major role in the ongoing reform of broker-dealers and other financial firms. This role is facilitated by the fact that compliance is now well established and accepted and compliance officers are close to decision making at all levels of a firm. The contention is that the role of compliance must be rethought and reoriented if it is to contribute fully to the reform. Compliance officers now ensure that the firms and their employees comply with the numerous laws and regulations governing them and their activities, primarily by producing and then …
Unfair And Inactionable: The Case For A Private Cause Of Action For Business And Investment Activity Under Pennsylvania's Unfair Trade Practices And Consumer Protection Law, Mark T. Wilhelm
Villanova Law Review
No abstract provided.
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.
All Together Now: International Regulatory Response To The Libor Rate Setting Conspiracy, Melissa Anne Conrad-Alam
All Together Now: International Regulatory Response To The Libor Rate Setting Conspiracy, Melissa Anne Conrad-Alam
Georgia Journal of International & Comparative Law
No abstract provided.
Market Power Without Market Definition, Daniel A. Crane
Market Power Without Market Definition, Daniel A. Crane
Notre Dame Law Review
Antitrust law has traditionally required proof of market power in most cases and has analyzed market power through a market definition/market share lens. In recent years, this indirect or structural approach to proving market power has come under attack as misguided in practice and intellectually incoherent. If market definition collapses in the courts and antitrust agencies, as it seems poised to do, this will rupture antitrust analysis and create urgent pressures for an alternative approach to proving market power through direct evidence. None of the leading theoretic approaches—such as the Lerner Index or a search for supracompetitive profits—provides a robust …
The Governance Structure Of Shadow Banking: Rethinking Assumptions About Limited Liability, Steven L. Schwarcz
The Governance Structure Of Shadow Banking: Rethinking Assumptions About Limited Liability, Steven L. Schwarcz
Notre Dame Law Review
In an earlier article, I argued that shadow banking—the provision of financial services and products outside of the traditional banking system, and thus without the need for bank intermediation between capital markets and the users of funds—is so radically transforming finance that regulatory scholars need to rethink their basic assumptions. This Article attempts to rethink the corporate governance assumption that owners of firms should always have their liability limited to the capital they have invested. In the relatively small and decentralized firms that dominate shadow banking, equity investors tend to be active managers. Limited liability gives these investor-managers strong incentives …
Destructive Federal Preemption Of State Wealth Transfer Law In Beneficiary Designation Cases: Hillman Doubles Down On Egelhoff, John H. Langbein
Destructive Federal Preemption Of State Wealth Transfer Law In Beneficiary Designation Cases: Hillman Doubles Down On Egelhoff, John H. Langbein
Vanderbilt Law Review
The probate codes in about a third of the states contain a so-called divorce revocation provision, applicable both to probate and nonprobate transfers. Such statutes address the situation in which a transferor's will or will substitute designates as a beneficiary a person who was the transferor's spouse at the time that the transferor executed the document, but whom the transferor later divorced. The premise of these statutes is that divorce entails a profound change of circumstances not foreseen by the transferor, and that the transferor is unlikely to have intended to benefit an ex-spouse. Accordingly, the intent- implementing purpose of …
The Growth Triangle Of Singapore, Malaysia And Indonesia, Terence P. Stewart, Margaret L.H. Png
The Growth Triangle Of Singapore, Malaysia And Indonesia, Terence P. Stewart, Margaret L.H. Png
Georgia Journal of International & Comparative Law
No abstract provided.
Uniform Application And Interest Rates Under The 1980 Vienna Sales Convention, Franco Ferrari
Uniform Application And Interest Rates Under The 1980 Vienna Sales Convention, Franco Ferrari
Georgia Journal of International & Comparative Law
No abstract provided.
Understanding The Islamic Prohibition Of Interest: A Guide To Aid Economic Cooperation Between The Islamic And Western Worlds, Hesham M. Sharawy
Understanding The Islamic Prohibition Of Interest: A Guide To Aid Economic Cooperation Between The Islamic And Western Worlds, Hesham M. Sharawy
Georgia Journal of International & Comparative Law
No abstract provided.
The Daiwa Wake-Up Call: The Need For International Standards For Banking Supervision, Kristin L. Case
The Daiwa Wake-Up Call: The Need For International Standards For Banking Supervision, Kristin L. Case
Georgia Journal of International & Comparative Law
No abstract provided.
China - A National Regulatory Framework For The Prc's Stock Markets Begins To Emerge, Benjamin R. Tarbutton
China - A National Regulatory Framework For The Prc's Stock Markets Begins To Emerge, Benjamin R. Tarbutton
Georgia Journal of International & Comparative Law
No abstract provided.
Transforming China's Traditional Banking Systems Under The New National Banking Laws, Andrew X. Qian
Transforming China's Traditional Banking Systems Under The New National Banking Laws, Andrew X. Qian
Georgia Journal of International & Comparative Law
No abstract provided.
The Value Of Public-Notice Filing Under Uniform Commercial Code Article 9: A Comparison With The German Legal System Of Securities In Personal Property, Jens Hausmann Dr.
The Value Of Public-Notice Filing Under Uniform Commercial Code Article 9: A Comparison With The German Legal System Of Securities In Personal Property, Jens Hausmann Dr.
Georgia Journal of International & Comparative Law
No abstract provided.
Survey 2014: Bankruptcy + Student Loan Debt Crisis, Brenda Beauchamp, Jason R. Cooper
Survey 2014: Bankruptcy + Student Loan Debt Crisis, Brenda Beauchamp, Jason R. Cooper
Touro Law Review
No abstract provided.
Secured Credit And Insolvency Law In Argentina And The U.S.: Gaining Insight From A Comparative Perspective, Guillermo A. Moglia Claps, Julian B. Mcdonnell
Secured Credit And Insolvency Law In Argentina And The U.S.: Gaining Insight From A Comparative Perspective, Guillermo A. Moglia Claps, Julian B. Mcdonnell
Georgia Journal of International & Comparative Law
No abstract provided.
Barter, Bearer, And Bitcoin: The Likely Future Of Stateless Virtual Money, Cara R. Baros
Barter, Bearer, And Bitcoin: The Likely Future Of Stateless Virtual Money, Cara R. Baros
University of Miami Business Law Review
Over the past few years, virtual money has emerged via the Internet. Although currently unregulated, Internal Revenue System Notice 2014-21 will most likely cause virtual money to lose its mass appeal in the United States. Historically, other means of tax avoidance, including barter transactions and bearer bonds, have suffered the same fate. Virtual money will likely have more success as a technology than as a means of value.
Regulation By Hypothetical, Mehrsa Baradaran
Regulation By Hypothetical, Mehrsa Baradaran
Vanderbilt Law Review
A new paradigm is afoot in banking regulation-and it involves a turn toward the more speculative. Previous regulatory instruments have included geographic restrictions, activity restrictions, disclosure mandates, capital requirements, and risk management oversight to ensure the safety of the banking system. This Article describes and contextualizes these regulatory tools and shows how and why they were formed to deal with industry change. The financial crisis of 2008 exposed the shortcomings in each of these regimes. In important ways, the Wall Street Reform and Consumer Protection Act of 2010 ('Dodd-Frank') departs from these past regimes and proposes something new: Call it …
The Fallout Of Too Big For Trial: Advocating Control Person Liability, Tudor Jones
The Fallout Of Too Big For Trial: Advocating Control Person Liability, Tudor Jones
Golden Gate University Law Review
The Subprime Mortgage Crisis of 2008 (Subprime Crisis or Crisis) caused an unprecedented worldwide recession. Between 2007 and 2010, the global financial services sector lost 325,000 jobs. In the United States, consumer household net worth decreased by $11 trillion. Meanwhile, C-level executives (hereafter, executives or corporate officers) from sixteen of the firms most closely associated with the Subprime Crisis were eligible to receive golden parachute payments approaching $1 billion if their firms’ failures had resulted in their terminations. Because of the government bailout program, that money would have been indirectly funded by United States taxpayers.
The Subprime Crisis presented the …
Revamping International Securites Laws To Break The Financial Infrastructure Of Global Terrorism, Sireesha Chenmolu
Revamping International Securites Laws To Break The Financial Infrastructure Of Global Terrorism, Sireesha Chenmolu
Georgia Journal of International & Comparative Law
No abstract provided.
Reconstructing Iraq: An Analysis Of, And Proposed Solutions To, The Financing Challenges Facing Iraqi Small And Mid-Sized Businesses, Timothy B. Mills
Reconstructing Iraq: An Analysis Of, And Proposed Solutions To, The Financing Challenges Facing Iraqi Small And Mid-Sized Businesses, Timothy B. Mills
Georgia Journal of International & Comparative Law
No abstract provided.
A Fistful Of Dollars: "Operation Casablanca" And The Impact Of Extraterritorial Enforcement Of The United States Money Laundering Law, Michael D. Hoffer
A Fistful Of Dollars: "Operation Casablanca" And The Impact Of Extraterritorial Enforcement Of The United States Money Laundering Law, Michael D. Hoffer
Georgia Journal of International & Comparative Law
No abstract provided.
A Comparative Study Of Monitoring Of Management In German And U.S. Corporations After Sarbanes-Oxley: Where Are The German Enrons, Worldcoms, And Tycos?, Florian Stamm
Georgia Journal of International & Comparative Law
No abstract provided.
Remembering The Bay Of Pigs: Using Letters Of Credit To Facilitate The Resolution Of International Disputes, Gerald T. Mclaughlin
Remembering The Bay Of Pigs: Using Letters Of Credit To Facilitate The Resolution Of International Disputes, Gerald T. Mclaughlin
Georgia Journal of International & Comparative Law
No abstract provided.
The Privatization Challenge In Guyana, Elizabeth A. Reid
The Privatization Challenge In Guyana, Elizabeth A. Reid
Georgia Journal of International & Comparative Law
No abstract provided.