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- Prudent Person Rules or Quantitative Restrictions? The Regulation of Long-Term Institutional Investors' Portfolios
- This paper examines the rationale, nature and financial consequences of two alternative approaches to portfolio regulations for life insurers and pension funds, namely prudent person rules and quantitative portfolio restrictions. The argument draws on the financial-economics of investment and the differing characteristics of institutions' liabilities, as well as evidence drawn...
- White papers 2002-05-27
Additional Resources
- The SEC[acute accent]s Recent Enforcement Actions Under Regulation FD.
- By Edward S. Best, James B. Carlson, Robert E. Curley, Scott J. Davis, Jeffrey I. Gordon, Robert A. Helman, Michael L. Hermsen, James J. Junewicz, Kenneth E. Kohler, Philip J. Niehoff, Elizabeth Raymond, Laura D. Richman, David A. Schuette, Frederic By Edward S. Best, James...
- Research articles 2003-02-26
- SEC Adopts New Rules on Auditor Independence Pursuant to the Sarbanes-Oxley Act.
- By Edward S. Best, James B. Carlson, Robert E. Curley, Scott J. Davis, Jeffrey I. Gordon, Robert A. Helman, Michael L. Hermsen, James J. Junewicz, Kenneth E. Kohler, Philip J. Niehoff, Elizabeth A. Raymond, Laura D. Richman, David A. Schuette, Frede By Edward S. Best,...
- Research articles 2003-03-17
- SEC Adopts Professional Standards for Attorneys.
- By Edward S. Best, James B. Carlson, Robert E. Curley, Scott J. Davis, Jeffrey I. Gordon, Robert A. Helman, Michael L. Hermsen, James J. Junewicz, Kenneth E. Kohler, Philip J. Niehoff, Elizabeth A. Raymond, Laura D. Richman, David A. Schuette, Frede By Edward S. Best,...
- Research articles 2003-03-18
- SEC Adopts Rules on Use of Non-GAAP Financial Measures and Earnings Releases
- By Edward S. Best, James B. Carlson, Robert E. Curley, Scott J. Davis, Jeffrey I. Gordon, Robert A. Helman, Michael L. Hermsen, James J. Junewicz, Kenneth E. Kohmler, Philip J. Niehoff, Elizabeth Raymond, Laura D. Richman, David A. Schuette, Frederi By Edward S. Best, James...
- Research articles 2003-02-27
- SEC Adopts Rules Implementing the Internal Control Report Required by Section 404 of the Sarbanes-Oxley Act.
- By Edward S. Best, Michael T. Blair, James B. Carlson, Robert E. Curley, Scott J. Davis, Ronal M. Feiman, Jeffrey I. Gordon, Robert A. Helman, Michael L. Hermsen, James J. Junewicz, Philip J. Niehoff, Elizabeth A. Raymond, Laura D. Richman, David A. By Edward S....
- Research articles 2003-06-19
- SEC Adopts Final Rules Requiring Disclosure of Audit Committee Financial Experts Pursuant to the Sarbanes-Oxley Act
- By Edward S. Best, James B. Carlson, Robert E. Curley, Scott J. Davis, Jeffrey I. Gordon, Robert A. Helman, Michael L. Hermsen, James J. Junewicz, Philip J. Niehoff, Elizabeth Raymond, Laura D. Richman, David A. Schuette, Frederick B. Thomas, Mark R By Edward S. Best,...
- Research articles 2003-02-03
- SEC Adopts Rules Implementing Sarbanes-Oxley Blackout Period Trading Restrictions.
- By Edward S. Best, James B. Carlson, Robert E. Curley, Scott J. Davis, Jeffrey I. Gordon, Robert A. Helman, Michael L. Hermsen, James J. Junewicz, Philip J. Niehoff, Elizabeth Raymond, Laura D. Richman, David A. Schuette, Frederick B. Thomas, Mark R By Edward S. Best,...
- Research articles 2003-02-03
- SEC Adopts New Rule on Listing Standards For Audit Committees Pursuant to the Sarbanes-Oxley Act
- By Edward S. Best, James B. Carlson, Robert E. Curley, Scott J. Davis, Ronald M. Feiman, Jeffrey I. Gordon, Robert A. Helman, Michael L. Hermsen, James J. Junewicz, Philip Niehoff, Elizabeth A. Raymond, Laura D. Richman, David A. Schuette, Frederick By Edward S. Best, James...
- Research articles 2003-04-29
- Stanford's finance chief pleads guilty
- James Davis, the second-highest ranking executive at the Stanford Financial Group, on Thursday pleaded guilty to charges connected with the alleged $7bn fraud at the group. Mr Davis, 60, who made the plea in a co-operation agreement with authorities, was subdued as he pleaded "guilty, your honour" to three felony...
- News items 2009-08-27
- Annual Update for Form 10-K and Proxy Statement Preparation.
- By Edward S. Best, James B. Carlson, Robert E. Curley, Scott J. Davis, Jeffrey I. Gordon, Robert A. Helman, Michael L. Hermsen, James J. Junewicz, Kenneth E. Kohler, Philip J. Niehoff, Elizabeth Raymond, Laura D. Richman, David A. Schuette, Frederick B. Thomas, Mark R. Uhrynuk and James R. Walther ...
- Research articles 2003-02-28
- Disclosure of Codes of Ethics for Senior Officers
- By Edward S. Best, James B. Carlson, Robert E. Curley, Scott J. Davis, Jeffrey I. Gordon, Robert A. Helman, Michael L. Hermsen, James J. Junewicz, Philip J. Niehoff, Elizabeth Raymond, Laura D. Richman, David A. Schuette, Frederick B. Thomas, Mark R. Uhrynuk and James R. Walther Section 406...
- Research articles 2003-02-03
- Shareholder Approval Requirements for Equity Compensation Plans; Brokers Ability to Vote on Those Plans.
- By Edward S. Best, Michael T. Blair, James B. Carlson, Robert E. Curley, Scott J. Davis, Jeffrey I. Gordon, Robert A. Helman, Michael L. Hermsen, Debra B. Hoffman, James J. Junewicz, Wayne R. Luepker, Philip J. Niehoff, Elizabeth A. Raymond, Laura D. Richman, David A. Schuette, Frederick B. Thomas, Mark...
- Research articles 2003-07-23
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