Pay-to-play: SEC staff provides new guidance on Advisers Act Rule 206(4)-5

By Pittman Edward L.   Harvey Christopher P.   Sherman Michael L.   Carroll Brenden P.  

Journal of Investment Compliance, Vol. 12, Iss. 4, 2011-11 ,pp. : 26-30

Emerald Group Publishing Ltd

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Recent SEC sweep highlights the need for US investment advisers seeking business from sovereign wealth funds to develop policies for FCPA compliance

By Pittman Edward L.   Krause Cheryl A.   Bogle Thomas C.   Danilewitz Justin C.  

Journal of Investment Compliance, Vol. 12, Iss. 2, 2011-06 ,pp. : 11-15

Emerald Group Publishing Ltd

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Who is listening? The SEC emphasizes importance of cybersecurity disclosure

By Krus Cynthia M.  

Journal of Investment Compliance, Vol. 13, Iss. 1, 2012-04 ,pp. : 30-32

Emerald Group Publishing Ltd

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Living through an SEC investigation: A primer for chief compliance officers

By M. Meisner Derek  

Journal of Investment Compliance, Vol. 5, Iss. 3, 2004-01 ,pp. : 59-63

Emerald Group Publishing Ltd

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Making a security and compliance investment: how to value what you pay for

By Mazer Murray  

Journal of Investment Compliance, Vol. 8, Iss. 3, 2007-09 ,pp. : 75-78

Emerald Group Publishing Ltd

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