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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION [B][1] Risk Management............................................ 31-46 [B][2] Board and Management Responsibilities ......... 31-46 [B][3] Risk Assessment and Requirements ................ 31-47 [B][4] Service Provider Selection ................................ 31-47 [B][5] Contract Issues................................................ 31-48 [B][6] Ongoing Monitoring ........................................ 31-51 [B][7] Business Continuity Plans............................... 31-51 [B][8] Information Security/Safeguarding................... 31-52 [B][9] Multiple Service Provider Relationships .......... 31-52 [B][10] Outsourcing to Foreign Service Providers ........ 31-52 § 31:3.7 Financial Industry Regulatory Authority............. 31-55 [A] Overview............................................................. 31-55 [B] A Member’s Responsibilities Regarding [B][1] Outsourcing ........................................................ 31-55 Accountability and Supervisory Responsibility................................................... 31-56 [B][2] Prohibited Outsourcing Activity ...................... 31-57 § 31:3.8 New York Stock Exchange .................................. 31-57 [A] Overview............................................................. 31-57 [B] Proposed Rules Regarding Outsourcing .............. 31-58 [B][1] Prohibited Activities ........................................ 31-58 [B][2] Prior Written Notice ........................................ 31-59 [B][3] Due Diligence .................................................. 31-59 [B][4] Oversight ......................................................... 31-60 [B][5] Disclosure ........................................................ 31-61 [B][6] Renewals.......................................................... 31-61 § 31:4 Foreign and International Regulation ......................... 31-61 § 31:4.1 EU’s Markets in Financial Instruments Directive ............................................................. 31-61 [A] Overview............................................................. 31-61 [B] Applicability........................................................ 31-62 [C] Requirements ...................................................... 31-62 [C][1] Level 1 Directive.............................................. 31-62 [C][2] Level 2 Directive.............................................. 31-63 [C][3] Obligations on Investment Firms.................... 31-63 [C][4] Obligations of Member States ......................... 31-65 [C][5] Exceptions........................................................ 31-65 [C][6] Application to Existing Outsourcing Arrangements .................................................. 31-65 § 31:4.2 Joint Forum Outsourcing Principles ................... 31-66 § 31:4.3 IOSCO Outsourcing Principles........................... 31-68 cvi

Table of Contents Chapter 31A SEC and CFTC Whistleblower Rules and Anti-Retaliation Protections John H. Sturc, Jason C. Schwartz, Joshua D. Dick & Thomas M. Johnson, Jr. § 31A:1 Introduction................................................................31A-3 § 31A:2 Affected Entities..........................................................31A-4 § 31A:3 Essential Elements of Whistleblower Award Eligibility.....................................................................31A-4 § 31A:3.1 Definition of a Whistleblower ..........................31A-5 § 31A:3.2 Voluntary Submission of Original Information ......................................................31A-5 [A] Voluntary ...........................................................31A-5 [B] Original Information .........................................31A-6 [C] 120-Day Look Back Provisions..........................31A-8 § 31A:3.3 Successful Enforcement Action.........................31A-8 [A] Calculating Amount Recovered .........................31A-9 § 31A:4 Exclusions from Award Eligibility.............................31A-10 § 31A:4.1 Principals........................................................31A-10 § 31A:4.2 Attorneys ........................................................31A-10 § 31A:4.3 Compliance Personnel....................................31A-11 § 31A:4.4 Individuals Retained to Conduct Inquiry............................................................31A-12 § 31A:4.5 Accountants....................................................31A-12 § 31A:4.6 Other Exclusions ............................................31A-12 § 31A:5 Exceptions to Exclusion from Award Eligibility .......................................................31A-13 § 31A:6 Factors Considered in Determining the Amount of an Award................................................31A-13 § 31A:6.1 Factors That May Increase an Award.............31A-14 [A] Significance of Information .............................31A-14 [B] Degree of Assistance Provided .........................31A-14 [C] Programmatic Interest of SEC or CFTC .........31A-15 [D] Participation in Internal Compliance Programs..........................................................31A-16 § 31A:6.2 Factors That May Decrease an Award............31A-16 [A] Whistleblower Culpability ...............................31A-16 [B] Delay in Reporting Violation ...........................31A-16 [C] Interference with Internal Compliance Programs..........................................................31A-17 [D] Potential Adverse Incentives............................31A-17 § 31A:7 Treatment of Culpable Individuals ...........................31A-17 § 31A:8 Whistleblower Confidentiality and Anonymity ........31A-18 § 31A:9 Whistleblower Protections: The Anti-Retaliation Provisions .................................................................31A-18 (Broker-Dealer Reg., Rel. #3, 5/13) cvii

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