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Journal articles on the topic 'Privately placed securities'

Author: Grafiati

Published: 4 June 2021

Last updated: 31 July 2024

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1

Ford Jacob, Valerie, Daniel J. Bursky, Stuart H. Gelfond, Michael A. Levitt, Paul D. Tropp, and Vasiliki B. Tsaganos. "SEC shortens Rule 144 holding periods and loosens restrictions on resales of privately placed securities." Journal of Investment Compliance 9, no. 2 (June 13, 2008): 45–49. http://dx.doi.org/10.1108/15285810810886180.

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2

Modeccai Mbhele, Nkosingiphile, Mandlenkosi Richard Mphatheni, Ntsika Edward Mlamla, and Shanta Balgobind Singh. "The Impact of the Private Security Industry Regulation Act and other Legislative Frameworks on Private Securities Operating in Drinking Establishments in South Africa." International Journal of Criminology and Sociology 9 (April 5, 2022): 1811–21. http://dx.doi.org/10.6000/1929-4409.2020.09.207.

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This paper seeks to explore the legislation and regulatory frameworks that guides the functionality and operation of private securities placed in drinking establishments in South Africa. Prior research has indicated lack of clarity regarding private security personnel regulation in drinking establishments, otherwise known as bouncers. For instance, the Private Security Industry Regulatory Authority (PSIRA) is the current regulatory structure which is mandated to monitor and regulate all the private security industries in South Africa. Private security players in South Africa are obligated to c

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3

Pershkow, Amy Ward, and Adam D. Kanter. "US Securities and Exchange Commission settles administrative action against fund manager concerning use of fund assets to pay management company expenses." Journal of Investment Compliance 16, no. 4 (November 2, 2015): 55–58. http://dx.doi.org/10.1108/joic-08-2015-0050.

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Purpose – To explain a recently settled administrative proceeding that the US Securities and Exchange Commission (SEC) brought against a private fund manager in connection with the use of fund assets to pay for the manager’s operating expenses. Design/methodology/approach – Explains the major takeaways from the settled case, and places them in the context of prior administrative proceedings and public statements from SEC staff. Findings – This case is the latest example of the SEC taking action against a private fund manager related to the improper deduction or allocation of expenses, and rela

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4

MacNeil, Iain, and Alex Lau. "International Corporate Regulation: Listing Rules and Overseas Companies." International and Comparative Law Quarterly 50, no. 4 (October 2001): 787–810. http://dx.doi.org/10.1093/iclq/50.4.787.

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Listing rules have always played a significant role in corporate regulation by controlling the manner in which companies raise capital through the issue of securities and the subsequent trading of those securities between investors. The regulatory role of listing rules can be characterised as the top-tier in a system of regulation for listed companies in which the lower tiers are represented by securities law and general corporate law. Company law represents the bottom tier of regulation as it applies to all companies, albeit with some distinctions made between public and private companies. Wh

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5

Hornkohl, Lena. "Article: Public Compensation for Private Harm: Fair Funds for Consumer Competition Law Redress." World Competition 47, Issue 1 (February 1, 2024): 89–108. http://dx.doi.org/10.54648/woco2024005.

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This paper discusses the use of the concept of Fair Funds for consumer competition law enforcement from an EU perspective. With such Fair Funds, the US Securities and Exchange Commission distributes collected fines and disgorged profits to compensate victims of securities law violations. The paper explains the use of Fair Funds in US law, highlights similarities, and adapts the concept for use in European competition law enforcement. It places an emphasis on the usefulness of such a concept against the role of consumers, but the conclusions can equally be drawn for small and medium enterprises

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6

Wilson, Berry K. "On the information content of ratings: an analysis of the origin of Moody's stock and bond ratings." Financial History Review 18, no. 2 (April 27, 2011): 155–90. http://dx.doi.org/10.1017/s0968565011000072.

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John Moody published his first railroad security analysis and ratings manual in April 1909. This study analyzes several current issues by looking back at Moody's original intentions for constructing a ratings system. The study analyzes whether Moody intended his ratings to reflect his private information, or rather, to serve some alternative role, as with monitoring conflicts of interests or realizing informational economies of scale. The study uses an ordinal regression approach to evaluate a set of explanatory variables, constructed from both the manual itself and the panic months of 1907, t

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7

Плиева, А. Р., and Д. В. Басиев. "Securities market and its formation in the russian economy." Экономика и предпринимательство, no. 8(121) (July 26, 2020): 112–16. http://dx.doi.org/10.34925/eip.2020.121.8.022.

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В данной статье рассматривается процесс становления и формирования рынка ценных бумаг в Российской Федерации, его путь с процесса создания до того состояния, который он имеет на сегодняшний день. Немаловажную роль в этом развитии сыграли политические и социальные события и изменения, которые имели место быть в нашем государстве. К таким факторам можно отнести Великую русскую революцию с образованием нового государства с планово-хозяйственной системой управления, развал СССР и формирование отдельных независимых государств, создание законодательных актов, регулирующих создание и дальнейшее совер

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8

Duben, Andrei Kirillovich. "Information Security's Place in the National Security System: Actual Problems of Information Law." Вопросы безопасности, no. 1 (January 2023): 51–57. http://dx.doi.org/10.25136/2409-7543.2023.1.40078.

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The work is devoted to the study of information risks in the national security system. Today's challenges and risks in the information sphere force us to look for new relationships between industries to improve the quality of life and reduce information threats. The presented information threats require identification and leveling in the future if such external restrictions arise. The article reveals the role and place of information security in the national security system of the country. This paper discusses the basic concepts of information security in the system of ensuring the national se

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9

Сакович, Ольга, and Olga Sakovich. "PLEDGE LAW REGULATION IN THE NEW CIVIL CODE OF THE CZECH REPUBLIC." Journal of Foreign Legislation and Comparative Law 3, no. 4 (August 23, 2017): 87–92. http://dx.doi.org/10.12737/article_598063fadb5351.90879993.

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This article is devoted to analysis of the pledge law regulation in the Civil Code of the Czech Republic. The Civil Code was adopted within a private law reform. The author addresses the fact of renouncing dualistic system of private law. The notion of pledge in Czech law is discussed. The article places special emphasis on the evaluation of the pledge agreement’s position in the pledge relationships together with correlation of the contract and law’s state in course of pledge agreement negotiation. Requirements to the form of contract and its content depending on a pledged assets are esteemed

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10

Colangelo, Anthony J. "The Frankenstein’s Monster of Extraterritoriality Law." AJIL Unbound 110 (2016): 51–56. http://dx.doi.org/10.1017/s2398772300002397.

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The judge-made presumption against extraterritoriality has recently become a motley patchwork of eccentric and sometimes contradictory doctrines seemingly stitched together for one, and only one, mission: to deprive plaintiffs the right to sue in U.S. courts for harms suffered abroad. It lumbers along, blithely squashing precedent, principle, statutory text, and legislative intent—all to heed its abiding and single-minded obsession. The Supreme Court has so far mangled the scope of the Securities Exchange Act and the Alien Tort Statute (ATS), and, in RJR Nabisco v. European Community, has plac

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11

Sabarinathan, G. "SEBI's Regulation of the Indian Securities Market: A Critical Review of the Major Developments." Vikalpa: The Journal for Decision Makers 35, no. 4 (October 2010): 13–26. http://dx.doi.org/10.1177/0256090920100402.

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Since the empowerment of the Securities and Exchange Board of India (SEBI) through an Act of Parliament in 1992, SEBI has come up with a number of initiatives aimed at regulating and developing the Indian securities market and improving its safety and efficiency. These initiatives have made an impact on nearly every aspect of the market. Some of those initiatives have transformed the market fundamentally. Particularly noteworthy is the growth in the following: Market capitalization Number of listed firms Trading volumes and turnover both in the spot and futures markets. There is a growing netw

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12

Franz, Diana R., Dean Crawford, and Eric N. Johnson. "The Impact of Litigation against an Audit Firm on the Market Value of Nonlitigating Clients." Journal of Accounting, Auditing & Finance 13, no. 2 (April 1998): 117–34. http://dx.doi.org/10.1177/0148558x9801300202.

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This study investigates how litigation against an audit firm affects the market value of its publicly traded clients. We examine the impact of private litigation alleging audit failure on the audit firm's clients not involved in the lawsuit. Our results indicate that clients not involved in the litigation experience significant negative returns at the announcement of litigation against their audit firm. These results suggest that the market interprets litigation against an audit firm as a signal of decreased audit quality and that the market places a value on audit quality when pricing a firm'

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13

Shammas, Carole. "Tracking the growth of government securities investing in early modern England and Wales." Financial History Review 27, no. 1 (March 25, 2020): 95–114. http://dx.doi.org/10.1017/s096856501900026x.

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Interest in the growth of tradeable securities in early modern Britain, especially its relationship to economic development and the funding of government debt, has centered mainly on the borrower – whether it be trading company, industrial enterprise, or the state. This article directs attention to the investor, using Charity Commission Reports for England and Wales that document a dramatic mid-eighteenth-century shift by donors and trustees from investments in real estate and rent charges to perpetual government annuities, mainly 3 percent Consols. The heavy investment in this public debt pro

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14

Cioffi, John W. "Corporate Governance Reform, Regulatory Politics, and the Foundations of Finance Capitalism in the United States and Germany." German Law Journal 7, no. 6 (June 1, 2006): 533–61. http://dx.doi.org/10.1017/s2071832200004855.

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Since 1990, both the U.S. and Germany have substantially reformed their corporate governance regimes as part of an emerging paradigm of international finance capitalism increasingly dependent on securities markets and private shareholding. Corporate governance reform and the emergence of finance capitalism, however, present a double paradox. First, the development of financial markets and the increasing importance of market relations, often linked to the diminution of state power, have been accompanied by a substantial and ongoing expansion of law and regulatory capacity into the private spher

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15

Sushch, Olena. "SPECIFIC FEATURES OF LEGAL REGULATION OF GREEN INVESTMENTS IN UKRAINE." Baltic Journal of Legal and Social Sciences, no. 1 (April 18, 2024): 52–60. http://dx.doi.org/10.30525/2592-8813-2024-1-6.

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Abstract. It is established that Ukraine has begun to develop legislation on legal regulation of green bonds since 2020, which are the financial instrument of green investment in accordance with European standards. However, the Law of Ukraine “On Investment Activity” does not contain norms that would regulate various legal relations associated with green investments. Green bonds are the new subtype of securities in Ukraine, since the legislation on capital markets did not provide the existence of such securities until 2020. It is emphasized that issues concerning the status, problems and persp

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16

Robertson, Mari L. "Securitization and financial markets: the implications for interest rate pass-through." Journal of Financial Economic Policy 8, no. 4 (November 7, 2016): 472–98. http://dx.doi.org/10.1108/jfep-02-2016-0010.

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Purpose The transmission of monetary policy rates to lending rates is viewed as a crucial path of monetary policy. As an integral part of the financial system and the recent financial crisis, securitized assets have the potential to affect the interest rate pass-through process and monetary policy effectiveness. This paper aims to investigate the influence of securitization on the transmission of policy rate changes to lending rates and how rate transmission has changed since the recent financial crisis. Emphasis is placed on differences among the mortgage, consumer credit and business loan se

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17

Bosworth, Barry, and Aaron Flaaen. "Financial Crisis American Style." Asian Economic Papers 8, no. 3 (October 2009): 146–70. http://dx.doi.org/10.1162/asep.2009.8.3.146.

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This paper reviews some of the research on the causes of the financial crisis of 2008–09, highlights the key events that triggered a financial panic in September 2008, and summarizes the key policy actions that the United States has taken to ameliorate the crisis. We document the characteristics and growth of the sub-prime mortgage market, and the distorted incentives and flawed regulatory structure surrounding the secondary market for mortgage-backed securities. We also assess the role for macroeconomic determinants of the crisis that serve to explain the bubble in U.S. asset prices, most not

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18

Pan, Junxu. "Analysis of the Fed's Implementation Plan to Tackle the Financial Crisis in 2008." BCP Business & Management 35 (December 31, 2022): 76–82. http://dx.doi.org/10.54691/bcpbm.v35i.3230.

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After the financial crisis, quantitative easing policy played an important role as the main body of the Federal Reserve's unconventional monetary policy. From the market environment at that time, the emergence of quantitative easing policy will play a positive role through the interest rate commitment effect. In times of crisis, it is feasible for the Fed to use some extent, and can be used as a reference to save the crisis in the future. The central bank should play an effective and active role in maintaining financial stability. In times of crisis, central banks should focus on providing liq

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19

Mlachila, Montfort, and Sarah Sanya. "Post-crisis bank behavior: lessons from Mercosur." International Journal of Emerging Markets 11, no. 4 (September 19, 2016): 584–606. http://dx.doi.org/10.1108/ijoem-06-2015-0116.

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Purpose The purpose of this paper is to answer one important question: in the aftermath of a systemic banking crisis, can the expected deviations in credit supply, liquidity, and other bank characteristics become entrenched in that they do not converge back to “normal”? Design/methodology/approach Using a panel data set of commercial banks in the Mercosur during the period 1990-2006, the authors analyze the impact of crises on four sets of financial indicators of bank behavior and outcomes – profitability, maturity preference, credit supply, and risk taking. The authors employ convergence meth

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20

BYSTRIAKOV, Ihor, Dmytro KLYNOVYI, and Nataliia KORZHUNOVA. "FORESIGHT APPROACH TO ORGANIZATION AND FINANCING OF SUSTAINABLE ECONOMIC MANAGEMENT." Economy of Ukraine 2022, no. 4 (April 25, 2022): 3–27. http://dx.doi.org/10.15407/economyukr.2022.04.003.

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The substantive features of the foresight methodology as a means to implement sustainable economic management are revealed, the basic formats and algorithm for the organization of financing of sustainable economic management on the basis of foresight approach are outlined. Emphasis is placed on the need to update the methodology for managing the sustainable development of economic systems using the foresight approach. Foresight design is identified as an effective tool for proactive management of economic systems, which creates opportunities for the formation of financial and logistical chain

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21

Vollmer, Andrew. "Accusers as Adjudicators in Agency Enforcement Proceedings." University of Michigan Journal of Law Reform, no. 52.1 (2018): 103. http://dx.doi.org/10.36646/mjlr.52.1.accusers.

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Largely because of the Supreme Court’s 1975 decision in Withrow v. Larkin, the accepted view for decades has been that a federal administrative agency does not violate the Due Process Clause by combining the functions of investigating, charging, and then resolving allegations that a person violated the law. Many federal agencies have this structure, such as the Securities and Exchange Commission (SEC) and the Federal Trade Commission. In 2016, the Supreme Court decided Williams v. Pennsylvania, a judicial disqualification case that, without addressing administrative agencies, nonetheless raise

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22

Bereslavska, O. I., S. Ye Shyshkov, and N. M. Sheludko. "Investment preferences of the population of Ukraine: response to shocks of martial law." Ukrainian Society 83, no. 4 (December 29, 2022): 76–91. http://dx.doi.org/10.15407/socium2022.04.076.

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The article contains the results of the analysis of the investment behaviour of Ukrainian households in the crisis caused by external armed aggression. The financial potential of Ukrainian households in the pre-war period was assessed, and it was concluded that the expenses of most of the population were directed to the consumer rather than investment purposes. It was found that the investment potential of households was directed, first, to the purchase of currency, real estate, and deposits, as well as to risky crypto-currency assets, the active use of which Ukraine is one of the world leader

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23

Ray, Aditya. "IT-Oriented Infrastructural Development, Urban Co-Dependencies, and the Reconfiguration of Everyday Politics in Pune, India." Urban Planning 5, no. 4 (December 15, 2020): 371–83. http://dx.doi.org/10.17645/up.v5i4.3506.

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Existing scholarship on postcolonial urbanisms has judiciously analysed the role played by the state and private capital in the expansion of global information-technology clusters and exclusive high-tech knowledge enclaves that have emerged across different metropolitan fringes in India and in the wider global South. However, much of this scholarship has focused primarily on the antagonisms wrought by the ‘expulsion’ of local rural populations from their lands and livelihoods, at the hands of the neoliberal state and global capitalist elites. In contrast, there is not enough research on how di

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24

Michael, Bryane, and Viktoria Dalko. "When should central banks engage in private sector securities purchases?" Journal of Economic Studies, March 3, 2023. http://dx.doi.org/10.1108/jes-04-2022-0197.

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Purpose The authors aim to look at the conditions under which central bank easing – and specifically the purchase of private sector securities – can/should contribute to growth, rather than fiscal policy and also ask when can the central bank’s purchase of private sector securities help supplant traditional monetary policy.Design/methodology/approachAfter surveying the existing literature, the authors use simple correlation of central bank private asset (stocks, bonds, etc.), interest rates, gross domestic product (GDP) growth, inflation and the extent of the functioning of domestic banking se

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25

Luger, Jason David. "Must Art Have a ‘Place’? Questioning the Power of the Digital Art-Scape." M/C Journal 19, no. 3 (June 22, 2016). http://dx.doi.org/10.5204/mcj.1094.

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Introduction Artist: June 2 at 11.26pm:‘To be truly radical is to make hope possible rather than despair convincing.’ - Raymond Williams. (Singaporean Artists’ public Facebook Post) Can the critical arts exist without ‘place’?There is an ongoing debate on ‘place’ and where it begins and ends; on the ways that cities exist in both material and immaterial forms, and thereby, how to locate and understand place as an anchoring point amidst global flows (Massey; Merrifield). This debate extends to the global art- scape, as traditional conceptions of art and art-making attached to place require re-t

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26

Warner, Kate. "Relationships with the Past: How Australian Television Dramas Talk about Indigenous History." M/C Journal 20, no. 5 (October 13, 2017). http://dx.doi.org/10.5204/mcj.1302.

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In recent years a number of dramas focussing on Indigenous Australians and Australian history have appeared on the ABC, one of Australia's two public television channels. These dramas have different foci but all represent some aspects of Australian Indigenous history and how it interacts with 'mainstream' representations of Australian history. The four programs I will look at are Cleverman (Goalpost Pictures, 2016-ongoing), Glitch (Matchbox Films, 2015-ongoing), The Secret River (Ruby Entertainment, 2015) and Redfern Now (Blackfella Films, 2012), each of which engages with the past in a unique

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