Good Risk Governance Pays

Good Risk Governance Pays

Investment Best Practices | Risk Management | Valuation

Category Archives: International Investing

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BREXIT and Trust

Posted in Governance, International Investing
Like so many, I stayed up late to watch the vote count about whether the United Kingdom should remain part of the European Union (“EU”). With a margin of about 4% or 1.3 million people, “Leave” won the day, despite financial market trades that reflected an expectation to stay. Whatever your preferred outcome, it was certainly exciting to… Continue Reading

Increased Regulation of Derivatives by Registered Funds

Posted in Derivatives, Disclosure and Transparency, International Investing, Investment Management, Mutual Funds, Regulation, Risk Management, Susan Mangiero, Trading
On December 11, 2015, the U.S. Securities and Exchange Commission (“SEC”) took steps to more actively regulate how derivative instruments are used by registered investment companies such as mutual funds, exchange-traded funds (“ETFs”), closed-end funds and business development companies. According to its Fact Sheet, a portfolio manager would have to either limit leverage via the use of derivatives to… Continue Reading

Class Action Opt-Outs and the Role of Institutional Investor Plaintiffs

Posted in Compliance, Governance, International Investing, Investment Management, Litigation, Risk Management
During a May 2014 trip to London, I had the pleasure of meeting with various attorneys who do work with institutional investors such as pension funds. While I did not have a chance to convene with Attorney David Seidel, our guest interviewee for this blog post, I did meet with his colleague, senior attorney and… Continue Reading

Investment Firms and Corruption Risk Management in Africa

Posted in Compliance, Disclosure and Transparency, International Investing, Private Equity, Regulation, Risk Management
When I write an article, it is always gratifying to know that someone has read it and found it helpful. Having someone reference your work is nice too. That is why I was happy to learn from my co-author, H. David Kotz, that AFK Insider has extensively excerpted from our article entitled “Avoiding FCPA Liability… Continue Reading

Article About Foreign Corrupt Practices Act (FCPA) and Institutional Investors

Posted in Compliance, Disclosure and Transparency, Ethics, Financial Reporting, Fraud, International Investing, Litigation, Regulation, Risk Management
When I was asked to co-author something for The Corporate Counselor, I suggested an article about the Foreign Corrupt Practices Act (“FCPA”) and its implications for institutional investors and their counsel. I had not seen much on the subject yet knew that it was starting to percolate as an important topic for several reasons. First, it… Continue Reading

Litigation Trends – Regulatory Compliance and Global Reach

Posted in Compliance, Fiduciary Liability, International Investing, Investment Management, Litigation
A few weeks ago, I attended an interesting webinar about U.S. litigation trends. The event was sponsored by Norton Rose Fulbright and featured numerous legal experts. Otway Denny, senior partner in charge of dispute resolution and litigation in the United States, described an undeniable rise in regulatory investigations due to “stricter” scrutiny “from a broad… Continue Reading