Tag Archives: staff

SEC Staff Gives Assurances to Advisers Keeping Alternate Records under Pay to Play Advisers Act Recordkeeping Rule

The staff of the Division of Investment Management has given no-action assurances under the government plan recordkeeping rule, adopted in conjunction with the pay to play rule, to investment advisers to Covered Investment Pools who keep an alternative set of … Continue reading

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A dozen key terms that need clear definition and application in benchmarks of law department staff and spend

We take for granted that fundamental terms in benchmark surveys and reports have clear meanings understood and applied by all. Lord, what fools these mortals be! Setting aside statistical terms, below are 12 that deserve careful definition by surveyors and… … Continue reading

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Corporate Tax Professionals Support SEC Staff Plan for IFRS Incorporation into US Financial Reporting

In-house company accountants and lawyers responsible for implementing the accounting rules for income taxes that form a part of the company's financial statements support the SEC staff's plan to incorporate IFRS into the US financial reporting system. In a letter … Continue reading

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SEC Staff Comment Letter Required Bank to Discuss Whether Foreign Currency Trading is Proprietary Trading under Volcker Rule

In what may be the first published SEC staff comments to a company regarding the Volcker rule, the staff asked Northern Trust Corporation to provide additional explanation of foreign currency trading on behalf of its clients. The Volcker rule is … Continue reading

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UN dismisses ICTY staff member’s appeal of contempt conviction

[JURIST] The Appeals Chamber of the International Criminal Tribunal for the former Yugoslavia (ICTY) [official website] on Tuesday upheld [judgment, PDF; press release] the contempt conviction of former spokesperson Florence Hartmann [BBC profile; ICTY materials, PDF]. A specially appointed chamber … Continue reading

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