Open Access. Powered by Scholars. Published by Universities.®
- Institution
- Keyword
-
- Securities and Exchange Commission (2)
- Account holders (1)
- Algorithmic trading (1)
- BSI (1)
- Banca Della Svizzera Italiana (1)
-
- Banking secrecy laws (1)
- Broker (1)
- China (1)
- Comparative law (1)
- Competitive differentiation (1)
- Conflict minerals (1)
- Discrete call markets (1)
- Dodd-Frank (1)
- Ellis-Ag (1)
- Empirical analysis (1)
- Experimental order taxes (1)
- FCPA (1)
- Federal Account for Investor Restitution Fund (1)
- Financial Industry Regulatory Authority (1)
- Financial compensation (1)
- Financial regulations (1)
- Financial scandals (1)
- Foreign Corrupt Practices Act (1)
- Germany (1)
- High-frequency trading (1)
- Hong Kong (1)
- Insider trading (1)
- Japan (1)
- Kuwait Petroleum Corporation (1)
- Law and Economics (1)
- Publication
- Publication Type
Articles 1 - 5 of 5
Full-Text Articles in Securities Law
Dodd-Frank’S Extension Of Criminal Corporate Liability Through The Foreign Corrupt Practices Act: Enabling Whistleblowers And Monitoring Conflict Minerals, Tim Bakken
Pace Law Review
In a sense, through its whistleblower provision, the Dodd-Frank Act has enabled the government to use corporate employee whistleblowers to support criminal prosecutions. That position finds agreement in this article, but the conclusion reached is that the results to be obtained from the whistleblower provision will be positive. Through an analysis of the Dodd-Frank Act, this article discusses further the new reach of the FCPA, particularly in light of the whistleblower and conflict-minerals provisions in the Dodd-Frank Act. Finally, this article concludes that although the new provisions can be costly, the provisions are beneficial. The traditional corporate model is now …
Regulating To Achieve Stability In The Domain Of High-Frequency Trading, Lindsey C. Crump
Regulating To Achieve Stability In The Domain Of High-Frequency Trading, Lindsey C. Crump
Michigan Telecommunications & Technology Law Review
High-frequency trading has become a darling of capital markets debate. This debate thrives because the true and long-lasting effects of high-frequency trading are still unknown. On one hand, high-frequency trading evidences recent and powerful advances in trading technology; on the other, it is said to harness speed at the expense of fairness, prudence, and stability. In part because of this duality, the regulation of high-frequency trading in the United States has been slow to develop. Other nations, however, have been quicker to react and to promulgate laws that directly, or indirectly, affect high-frequency trading. This Note explores the legal responses …
Enhancing The Compensatory Roles Of Financial Regulatory Agencies In South Korea: Lessons From The U.S. Sec's Fair Fund, Daeil Kim
Maurer Theses and Dissertations
Recent financial scandals in South Korea that caused massive harms to financial consumers instigated voices that financial regulators should play a more active role in recompensing victims for losses incurred by misconduct in the financial market. In this regard, this thesis aims to suggest several considerations in developing the compensation scheme for injured financial consumers in Korea. This thesis first reviews the Federal Account for Investor Restitution (FAIR) Fund operated by the U.S. Securities and Exchange Commission. Specifically, it broadly addresses the history, overall process, operation, and major issues related to the FAIR Fund. Based on the FAIR Fund review, …
Securities Regulations Investigations - United States-Swiss Treaty Attempts To Increase Cooperation In Releasing Names Of Swiss-Based Account Holders Involved In United States Securities And Exchange Commission Investigations, Daniel B. Simon Iii
Georgia Journal of International & Comparative Law
No abstract provided.
Law In Regression? Impacts Of Quantitative Research On Law And Regulation, David C. Donald
Law In Regression? Impacts Of Quantitative Research On Law And Regulation, David C. Donald
David C. Donald
Quantitative research (QR) has undeniably improved the quality of law- and rulemaking, but it can also present risks for these activities. On the one hand, replacing anecdotal assertions regarding behavior or the effects of rules in an area to be regulated with objective, statistical evidence has advanced the quality of regulatory discourse. On the other hand, because the construction of such evidence often depends on bringing the complex realities of both human behavior and rules designed to govern it into simple, quantified variables, QR findings can at times camouflage complexity, masking real problems. Deceptively objective findings can in this way …