Derivatives regulation

Article Abstract:

The SEC's and Commodities Futures Trading Commission's (CFTC) roles in regulating over-the-counter (OTC) derivative transactions is sometimes unclear. Industry efforts have developed more comprehensive guideline proposals concerning a voluntary oversight framework and wholesale financial markets' principles. Regulatory issues requiring further resolution are professional intermediaries' responsibilities, disclosure requirements, and the relationship between OTC derivative transaction parties.

United States. Securities and Exchange Commission, Over-the-counter markets, Over the counter markets, United States. Commodity Futures Trading Commission

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Internal investigations

Article Abstract:

Conducting internal investigations require much prior planning. Parties to carry out the investigation, whether in or outside counsel, must be decided. Fact gathering, review, interviewing, and employee discipline processes need to be prepared. Privileged documents should be identified and protected. Decisions as to contact the government and clients have to be made.

United States, Management, Internal auditing

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Restricted stock: equity derivatives; background materials - selected comment letters regarding SEC release #337391

Article Abstract:

Comment letters regarding the SEC's release #337391 on restrictive stocks and equity derivatives are presented.

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