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Corporate and Financial Weekly Digest - Volume II, Issue 39

Newsletter | October 12, 2007

In this issue of CFWD we discuss:

  • SEC Staff Critiques 2007 Executive Compensation
    Disclosure
  • FinCEN Provides SAR Compliance Tips
  • SEC Adopts Regulation R Gramm-Leach-Bliley Bank Broker
    Exceptions
  • SEC to Permit U.S. Banks to Effect Regulation S Transactions,
    Act as Conduit Lenders
  • Guidance Issued Regarding Due Diligence Obligations of OTC
    Executing Dealers
  • Comments Requested on Financial Industry Regulatory Framework
  • LSE Makes Final MiFID Handbook Changes
  • FSA Publishes Latest Quarterly Consultation
  • UK Chancellor Announces Amendments to Investment Management
    Exemption
  • UK Hedge Fund Working Group Publishes Proposals for Voluntary Code
  • CEBS Consults on Commodities Risks
  • Ninth Circuit Affirms Dismissal of Securities Fraud Complaint
  • Class Action Securities Fraud Complaint Dismissed
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