Haines: Lawyers, Accountants, Bankers Are Guards Against Fraud

Hume, Lynn
February 2003
Bond Buyer;2/21/2003, Vol. 343 Issue 31577, p5
Trade Publication
Focuses on finacial consultants' role in guarding against violations of securities and tax laws in municipal securities transactions in the U.S. Rules governing bond lawyers' practice; Provisions of the changed rule to be implemented after August 5, 2003 governing bond lawyers' conduct; Reference to some legal proceedings by the U.S. Securities and Exchange Commission against some financial professionals.


Related Articles

  • G-23 Changes May Have Loopholes, FAs Warn. Quigley, Joan // Bond Buyer;3/23/2011, Vol. 375 Issue 33489, p1 

    The article reports on the admonitions of independent financial advisers on loopholes in the proposed changes to Rule G-23 in the U.S. It mentions that the ambiguities would allow dealer-financial advisers to shift roles and become underwriters in similar municipal transactions. It adds that...

  • The SEC Issues Interpretive Release Offering Soft Dollar Guidance. Baum, David J.; Beaudreault, Lindi L.; Burstein, Sara F.; Costley, Mark; Duke, Catherine A.; Gonzales, Aaron M.; Sheehan, Margaret A. // Venulex Legal Summaries;2006 Q3, p1 

    The article reports that the U.S. Securities and Exchange Commission (SEC) has issued an interpretive release on July 19, 2006 providing guidance on the permissible scope of investment advisers' use of soft dollars. The SEC rule provides a framework for the legal standing of brokerage and...

  • N.J. restricts bond counsel. Hoffman, David; Hume, Lynn // Bond Buyer;07/22/99, Vol. 329 Issue 30688, p1 

    Highlights the New Jersey Supreme Court's decision to upheld a proposal to restrict out-of-state attorneys' work as bond counsel in the state. View that the proposal was too broad; Need for lawyers' firms to have an office in the state; Requirement for lawyers themselves to be either licensed...

  • Plan would not benefit agents or consultants. Roush, Matt // Crain's Detroit Business;10/18/93, Vol. 9 Issue 42, p19 

    Reports on President Bill Clinton's health-care reform proposal's effects on Detroit, Michigan-area employment. People affected by the reform; Effects on employers; Implications for benefits consultants; Transition from private plans to a national health care.

  • Legal privilege for tax advisers long overdue: IPA. Pokrajac, Milana // Money Management;3/29/2012, Vol. 26 Issue 11, p3 

    The article reports on the recommendation of Institute of Public Accountants (IPA) to the Australian government to extend legal privilege for professional tax advisers.

  • Consultant can be liable if client breaches contract. Voigmann, Mark // Indianapolis Business Journal;03/15/99, Vol. 19 Issue 53, p39 

    Focuses on breach-of-contract lawsuit in Illinois which provides insight into legal principles affecting the freewheeling `advice' given by management consultants, and how recommendations by a consultant can be the focus of litigation. Outline of the concept of `tortious interference with...

  • The rollercoaster ride to bring back Dreamland. A. H. // Third Sector;Jul2015, Issue 814, p61 

    The article provides information the reopening of a historic amusement park named Dreamland Amusement Park on the Margate sea front England. Its heyday included a zoo, a scenic railway, cinema, a ballroom, cafes and restaurants. The author states that the decision of shutting the park formed a...

  • The legal ploy to avoid an M&A fee that didn't work. Leavy, Elizabeth G. // Mergers & Acquisitions: The Dealermaker's Journal;Mar/Apr94, Vol. 28 Issue 5, p46 

    Reports on a case of two conflicting firms over unpaid fees in business consulting services. Relevant legislation; Situation analysis; Implications for management consultants. INSET: Dealmakers' alert..

  • Minnesota Department of Transportation (Mn/DOT).  // Minnesota State Register;9/14/2015, Vol. 40 Issue 11, p340 

    The article focuses on the public notice by Minnesota Department of Transportation (Mn/DOT) regarding the development of Consultant Pre-Qualification Program for consultant selection.


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics