Knowing your customer and culture: An integrated approach to USA Patriot Act Compliance

By Manning Vincent   Spitzner Marc   C. Martin II Ralph   J. Savery Donald  

Journal of Investment Compliance, Vol. 4, Iss. 1, 2003-01 ,pp. : 42-44

Emerald Group Publishing Ltd

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The new supervisory rules regime: a practical look at areas of exposure for broker-dealers and senior personnel

By Hiler Bruce   Kuczajda Thomas   Rabie Aseel  

Journal of Investment Compliance, Vol. 7, Iss. 1, 2006-01 ,pp. : 34-42

Emerald Group Publishing Ltd

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The extra-territorial reach of the broker-dealer registration requirements under the US Securities Exchange Act of 1934: the staff of the Securities and Exchange Commission addresses frequently asked questions regarding Rule 15a-6 and foreign broker-dealers

By Eisert Edward   Katz Tony   Carotenuto Giovanni   Ball Melanie F.  

Journal of Investment Compliance, Vol. 14, Iss. 2, 2013-06 ,pp. : 50-56

Emerald Group Publishing Ltd

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SEC releases study on the fiduciary duty of investment advisers and broker-dealers

By Forbes Jessica   Gnall Gregory P.  

Journal of Investment Compliance, Vol. 12, Iss. 2, 2011-06 ,pp. : 4-7

Emerald Group Publishing Ltd

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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

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