Journal of Investment Compliance: Volume 21 Issue 1

International regulation of virtual assets under FATF’s new standards

Georgios Pavlidis

To critically examine two significant developments for the regulation and supervision of virtual assets and virtual assets services providers: the amendment of the Financial…

Are share prices of Gulf corporate council banks predictable? A time-series analysis

Hesham I. Almujamed

This research aimed to evaluate the predictability of moving-average strategies and examined the validity of the weak form of the efficient market hypothesis (EMH) for securities…

Is the investment decision affected by the independence and competence of the audit committee? A comparative study between Bahrain and Indonesia

Abdullah Hamza Al-Hadrami, Ahmad Rafiki, Adel Sarea, Muhammad Dharma Tuah Putra Nasution

This study aims to investigate the impact of the audit committee’s (AC’s) independence and competence in the company’s investment decision-making in Bahraini- and…

2020 SEC risk alert provides guidance for private fund advisers

Kenneth Breen, Phara Guberman

To analyze the U.S. Securities and Exchange Commission (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) June 2020 Risk Alert, which identified three categories…

EU whistleblowing rules to change in favor of whistleblowers

Alja Poler De Zwart

To describe the new EU Whistleblowing Directive and its implications.

Liu v. S.E.C.: Supreme Court’s narrowing of SEC disgorgement raises questions for insider trading cases

Alan R. Friedman, Dani R. James, Gary P. Naftalis, Paul H. Schoeman, Chase Henry Mechanick

To analyze the U.S, Supreme Court’s decision in Liu v. S.E.C., 140 S. Ct. 1936 (2020) and its potential implications for insider trading cases.

The increasing popularity of private funds

Jerry Koh, Jonathan Lee

To introduce the various private fund structuring options available in Singapore, an important fund management hub that has increasingly also come to be recognized as a popular…