Changing times: key issues for securities regulation and compliance

Author： Sorcher Alan E.   Kramer George R.  

Publisher： Emerald Group Publishing Ltd

ISSN： 1528-5812

Source： Journal of Investment Compliance, Vol.3, Iss.1, 2002-01, pp. : 5-26

Disclaimer: Any content in publications that violate the sovereignty, the constitution or regulations of the PRC is not accepted or approved by CNPIEC.

Previous Menu Next

Abstract

Related content

TARGET2-Securities: A platform for solving some of the key structural issues raised by the financial crisis and its aftermath

By Brown Philip  

Journal of Securities Operations & Custody, Vol. 6, Iss. 2, 2013-11 ,pp. : 122-131

Henry Stewart Publications

Access to resources Recommend Favorite

Back to the future: The changing nature of securities service provision

By Scott Rob  

Journal of Securities Operations & Custody, Vol. 8, Iss. 1, 2015-01 ,pp. : 12-17

Henry Stewart Publications

Access to resources Recommend Favorite

FINRA issues proposed rules on securities lending, permissible use of customer securities and callable securities

By Forbes Jessica   Gnall Gregory P.  

Journal of Investment Compliance, Vol. 11, Iss. 2, 2010-01 ,pp. : 42-45

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

Withholding tax: Issues for securities operations and custody

By McGill Ross  

Journal of Securities Operations & Custody, Vol. 7, Iss. 1, 2014-10 ,pp. : 62-68

Henry Stewart Publications

Access to resources Recommend Favorite

Private equity securities: A compliance update for broker-dealers and investment advisers

By H. Walsh John  

Journal of Investment Compliance, Vol. 4, Iss. 1, 2003-01 ,pp. : 26-32

Emerald Group Publishing Ltd

Access to resources Recommend Favorite