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Articles 1 - 11 of 11
Full-Text Articles in Law
Moving Beyond The Clamor For Hedge Fund Regulation: A Reconsideration Of Client Under The Investment Advisers Act Of 1940, Anita K. Krug
Moving Beyond The Clamor For Hedge Fund Regulation: A Reconsideration Of Client Under The Investment Advisers Act Of 1940, Anita K. Krug
Villanova Law Review
The article argues that a better approach for hedge fund regulation in the U.S. would be for law to regard private fund investors as clients of the managers of those funds. It discusses the regulatory regime governing investment advisers. The Investment Advisers Act of 1940 is tasked to regulate investment advisers and to require some investment advisers to be registered with the Securities and Exchange Commission (SEC).
Things Happen, Richard A. Booth
The Role Of Trust In Financial Regulation, Ronald J. Colombo
The Role Of Trust In Financial Regulation, Ronald J. Colombo
Villanova Law Review
The article discusses the significance of trust in the U.S. financial regulation. Trust is reportedly important because transaction costs become high in the absence of trust and relationships characterized by trust provide greater opportunities for mutually beneficial exchange. Trust is defined as the willingness to make an individual vulnerable to another. The general regulatory approach to banking, insurance, and securities regulation in the U.S. is discussed.
Voting Power Without Responsibility Or Risk: How Should Proxy Reform Address The Decoupling Of Economic And Voting Rights, Roberta S. Karmel
Voting Power Without Responsibility Or Risk: How Should Proxy Reform Address The Decoupling Of Economic And Voting Rights, Roberta S. Karmel
Villanova Law Review
No abstract provided.
Iss Recommendations And Mutual Fund Voting On Proxy Proposals, James Cotter, Alan Palmiter, Randall Thomas
Iss Recommendations And Mutual Fund Voting On Proxy Proposals, James Cotter, Alan Palmiter, Randall Thomas
Villanova Law Review
No abstract provided.
The Consumer Financial Protection Agency: Love It Or Hate It, U.S. Financial Regulation Needs It, Ann Graham
The Consumer Financial Protection Agency: Love It Or Hate It, U.S. Financial Regulation Needs It, Ann Graham
Villanova Law Review
The article discusses The Consumer Financial Protection Agency Act of 2009, a legislation filed in the U.S. House of Representatives on July 9, 2009. The U.S. House of Representatives passed The Wall Street Reform and Consumer Protection Act on December 11, 2009, which contained The Consumer Financial Protection Agency Act in Title IV. The American Bankers Association, Financial Services Roundtable, and Independent Community Bankers of America have opposed the creation of the Consumer Financial Protection Agency.
A Comparison Of The Handling Of The Financial Crisis In The United States, The United Kingdom, And Australia, Elizabeth F. Brown
A Comparison Of The Handling Of The Financial Crisis In The United States, The United Kingdom, And Australia, Elizabeth F. Brown
Villanova Law Review
The article discusses how the U.S., Great Britain and Australia handled the financial crisis, as of July 2010. It analyzes the reasons why Australia was less affected by the crisis than the U.S. and Great Britain. The author suggests that the U.S. would perform well to adopt a Twin Peaks Model which creates two agencies that regulate a broad range of financial entities but focus on narrow goals.
Reframing And Reforming The Securities And Exchange Commission: Lessons From Literature On Change Leadership, Joan Mcleod Heminway
Reframing And Reforming The Securities And Exchange Commission: Lessons From Literature On Change Leadership, Joan Mcleod Heminway
Villanova Law Review
The article discusses the lessons learned from the restructuring of the U.S. Securities and Exchange Commission (SEC) under the Sarbanes-Oxley Act. The strengths and weakness of the SEC reform measures are highlighted. Key reform proposals stemming from the global financial crisis and reform efforts being undertaken as of the spring of 2010 include overhauling or abolishing the SEC, managing the SEC through the Federal Reserve or the Department of the Treasury, and combining the SEC with the Commodity Futures Trading Commission (CFTC).
Fiduciary Obligations Of Broker-Dealers And Investment Advisers, Arthur B. Laby
Fiduciary Obligations Of Broker-Dealers And Investment Advisers, Arthur B. Laby
Villanova Law Review
The article discusses fiduciary obligation that broker-dealers and investment advisers owe their clients. It addresses questions in ascertaining whether financial reform is needed. The fiduciary obligations imposed on brokers and advisers are examined. An analysis of whether fiduciary duties should be imposed on brokers providing advice is offered.
Four Challenges To Financial Regulatory Reform, Eric J. Pan
Four Challenges To Financial Regulatory Reform, Eric J. Pan
Villanova Law Review
The article discusses the challenges that should be addressed in a successful financial regulatory reform. These challenges include the structuring of regulatory systems, separation of prudential supervision and consumer protection regulation, the entity responsible for monitoring and managing systemic risk, and the supervision of cross-border financial services and transactions. The reform proposals considered by Great Britain, the U.S., and European Union are analyzed.
Insurance Perspectives On Federal Financial Regulatory Reform: Addressing Misunderstandings And Providing A View From A Different Paradigm, Jeffrey E. Thomas
Insurance Perspectives On Federal Financial Regulatory Reform: Addressing Misunderstandings And Providing A View From A Different Paradigm, Jeffrey E. Thomas
Villanova Law Review
The article discusses the insurance regulation in the U.S. and its role in the financial crisis. It states that the collapse of American International Group (AIG) was not an insurance regulatory failure. It describes the scope and approach to state insurance regulation and the development and functioning of the National Association of Insurance Commissioners (NAIC). The role played by the courts in insurance regulation is also addressed.