Journal of Investment Compliance,volume 12,issue 2  (06-2014)

Period of time： 2014年2期

Publisher： Emerald Group Publishing Ltd

Founded in： 2000

Total resources： 40

ISSN： 1528-5812

Subject： F8 Finances

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Journal of Investment Compliance,volume 12,issue 2

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

By Forbes Jessica,Gnall Gregory P. in (2011)

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

Emerald Group Publishing Ltd

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Significant changes to FINRA's Know Your Customer and Suitability rules to take effect in 2011

By Polk S. Lawrence,Stadler Avital in (2011)

Journal of Investment Compliance,volume 12,issue 2 , Vol. 12, Iss. 2, 2011-06 , pp. 8-10

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. in (2011)

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

Emerald Group Publishing Ltd

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FINRA's all public panel option is now available in all customer cases

By Ward Bryan M. in (2011)

Journal of Investment Compliance,volume 12,issue 2 , Vol. 12, Iss. 2, 2011-06 , pp. 16-18

Emerald Group Publishing Ltd

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Emerging issues under interim final regulation on plan service provider fee disclosure

By Occhino Lennine,Shore Linda,Gosker Erika in (2011)

Journal of Investment Compliance,volume 12,issue 2 , Vol. 12, Iss. 2, 2011-06 , pp. 19-32

Emerald Group Publishing Ltd

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Lower courts extend Morrison but SEC asserts Dodd-Frank Act overrules Morrison for enforcement actions

By Weidner James,Lane Christopher,Peterson Sean in (2011)

Journal of Investment Compliance,volume 12,issue 2 , Vol. 12, Iss. 2, 2011-06 , pp. 33-36

Emerald Group Publishing Ltd

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Recommended annual review for hedge funds and other private fund managers

By Schiera Thomas M. in (2011)

Journal of Investment Compliance,volume 12,issue 2 , Vol. 12, Iss. 2, 2011-06 , pp. 37-50

Emerald Group Publishing Ltd

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An analysis of the Regulated Investment Company Modernization Act of 2010

By Hervey Richard M. in (2011)

Journal of Investment Compliance,volume 12,issue 2 , Vol. 12, Iss. 2, 2011-06 , pp. 51-71

Emerald Group Publishing Ltd

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FSA discussion paper on product intervention

By Gleeson Simon,Bates Chris,Morris Charles in (2011)

Journal of Investment Compliance,volume 12,issue 2 , Vol. 12, Iss. 2, 2011-06 , pp. 72-75

Emerald Group Publishing Ltd

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Financial services remuneration in the UK

By Ornstein Dan in (2011)

Journal of Investment Compliance,volume 12,issue 2 , Vol. 12, Iss. 2, 2011-06 , pp. 76-83

Emerald Group Publishing Ltd

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