Jim Hamilton’s World of Securities Regulation Blog features commentary and musings on the complex, fascinating, and peculiar world that is securities regulation. Contributors to the blog are James Hamilton, Hay Fishman, and N. Peter Rasmussen.
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UK Will Introduce Tax Transparent Funds to Take Advantage of Master-Feeder Structures under UCITS IV Directive
The UK will launch a new regulatory regime for tax transparent mutual funds to align with other EU jurisdictions taking advantage of the UCITS IV Directive, said UK Finance Minister Mark Hoban. In recent remarks, he said that the new fund vehicle the UK plans to authorize will be suitable for both...
Senate Extenders Legislation Contains Carried Interest Provision with Impact Beyond Hedge Fund Managers
Provisions in a Senate version of tax extenders legislation would expand the taxation of carried interest far beyond hedge fund managers, said the ABA Section on Taxation in a letter to Congress, and significantly alter fundamental aspects of partnership taxation. Proposed Section 710 to the...
The hedge fund industry has urged regulators implementing the orderly liquidation provisions of the Dodd-Frank Act to provide for the fair market valuation of securities of failing financial firms rather than the fixed valuations proposed for government securities and contemplated for other...
The incoming Chair of the House Financial Services Committee wants to see more transparency and accountability in the process of establishing the new Bureau of Consumer Financial Protection mandated by the Dodd-Frank Act. In a letter to Treasury officials, Rep. Spencer Bachus said that, in sharp...
The UK Supreme Court has ruled that a person who created 42 companies to service the tax and business needs of IT contractors, and also created a company to be the sole director of each of the 42 companies with himself as the director of that corporate director, was not the de facto director of...
Recently enacted non-protectionist EU hedge fund legislation is an achievement that looked doubtful six months ago, said UK Financial Services Secretary Mark Hoban, but he hailed the Alternative Funds Managers Directive as a signal success for the free cross-border movement of capital. In remarks...
Disciplinary guidelines applicable to each ground for which disciplinary action may be taken against an individual or firm were adopted by the Florida Office of Financial Regulation, effective November 22, 2010. The guidelines as contained in the "Office of Financial Regulation, Division of...
Securities Industry Urges Supreme Court to Apply FRCP Rule 9(b) Standard to Materiality Element of Rule 10b-5
As the US Supreme Court considers the materiality element of Rule 10b-5 for the first time since 1988, the securities industry asks the Court to rule that materiality,like all other elements of a securities fraud, is subject to the heightened pleading standard of Federal Rule of Civil Procedure...
FSOC Issues ANPR in Effort to Determine Which Securities Clearance and Settlement Utilities Are Systemically Important
As envisioned by the Dodd-Frank Act, the Financial Stability Oversight Council has issued an advanced notice of proposed rulemaking (ANPR) as a precursor of adopting regulations governing a determination when a financial market utility is systemically important. As defined in Section 803(6) of...
Chinese Auditing Standards Board Is in Full Convergence with International Financial Auditing Standards
The Chinese Auditing Standards Board has adopted financial auditing standards that are in full convergence with the clarified international auditing standards promulgated by the IAASB. The standards will take effect for audits of financial statements for periods beginning on or after January 1,...