Journal of Investment Compliance,volume 3,issue 4  (01-2014)

Period of time： 2014年4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 3,issue 4

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Supervising the supervisors: internal controls in the brokerage industry

By S. Saxon Denise,D. Kieswetter Beth in (2003)

Journal of Investment Compliance,volume 3,issue 4 , Vol. 3, Iss. 4, 2003-01 , pp. 5-12

Emerald Group Publishing Ltd

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Reporting up-the-ladder and the double negative: Applying the new standards of attorney conduct under the Sarbanes-Oxley Act

By Anson Mark in (2003)

Journal of Investment Compliance,volume 3,issue 4 , Vol. 3, Iss. 4, 2003-01 , pp. 13-15

Emerald Group Publishing Ltd

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Sarbanes-Oxley: investment company compliance

By I. Pershkow Barry in (2003)

Journal of Investment Compliance,volume 3,issue 4 , Vol. 3, Iss. 4, 2003-01 , pp. 16-30

Emerald Group Publishing Ltd

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Proxy voting: the rules and industry reaction

By P. Hulick Victoria in (2003)

Journal of Investment Compliance,volume 3,issue 4 , Vol. 3, Iss. 4, 2003-01 , pp. 31-35

Emerald Group Publishing Ltd

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The keys to effective mediation advocacy

By Masucci Deborah in (2003)

Journal of Investment Compliance,volume 3,issue 4 , Vol. 3, Iss. 4, 2003-01 , pp. 36-39

Emerald Group Publishing Ltd

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New scrutiny of broker-dealersâ–™ expense sharing arrangements

By Cohen Lawrence in (2003)

Journal of Investment Compliance,volume 3,issue 4 , Vol. 3, Iss. 4, 2003-01 , pp. 40-43

Emerald Group Publishing Ltd

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Functional regulation in the 21st century: Whatâ–™s reasonable for investor protection and for agents selling variable annuities?

By Brant David,Griffin Royce in (2003)

Journal of Investment Compliance,volume 3,issue 4 , Vol. 3, Iss. 4, 2003-01 , pp. 44-55

Emerald Group Publishing Ltd

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Research analystsâ–™ conflicts of interest: a global solution

By Sanderson Karl in (2003)

Journal of Investment Compliance,volume 3,issue 4 , Vol. 3, Iss. 4, 2003-01 , pp. 56-63

Emerald Group Publishing Ltd

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Total 8 item(s)