Journal of Investment Compliance,volume 4,issue 2  (01-2014)

Period of time： 2014年2期

Publisher： Emerald Group Publishing Ltd

Founded in： 2000

Total resources： 40

ISSN： 1528-5812

Subject： F8 Finances

Favorite

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

Journal of Investment Compliance,volume 4,issue 2

Menu

The selling away case: Rethinking the firmâ–™s defenses

By J. Frumento Aegis,Korenman Stephanie in (2003)

Journal of Investment Compliance,volume 4,issue 2 , Vol. 4, Iss. 2, 2003-01 , pp. 7-14

Emerald Group Publishing Ltd

Abstract Access to resources Recommend Favorite

Research analyst independence: Efforts to eliminate conflicts lead to conflicting requirements

By Lee Yoon-Young,Nicolas Stephanie in (2003)

Journal of Investment Compliance,volume 4,issue 2 , Vol. 4, Iss. 2, 2003-01 , pp. 15-24

Emerald Group Publishing Ltd

Abstract Access to resources Recommend Favorite

Untoward employee whistleblower claims under Sarbanes-Oxley

By Bryson Cheryl,Bramnik Robert,Lutner Rachel in (2003)

Journal of Investment Compliance,volume 4,issue 2 , Vol. 4, Iss. 2, 2003-01 , pp. 25-30

Emerald Group Publishing Ltd

Abstract Access to resources Recommend Favorite

The compliance gap

By in (2003)

Journal of Investment Compliance,volume 4,issue 2 , Vol. 4, Iss. 2, 2003-01 , pp. 31-38

Emerald Group Publishing Ltd

Abstract Access to resources Recommend Favorite

Itâ–™s the cover-up that will get you!

By C. Razzano Frank in (2003)

Journal of Investment Compliance,volume 4,issue 2 , Vol. 4, Iss. 2, 2003-01 , pp. 39-44

Emerald Group Publishing Ltd

Abstract Access to resources Recommend Favorite

New PATRIOT Act deadlines approach for broker-dealers: Customer identification programs to be implemented by October 1, 2003

By Santangelo Betty,Jacobs Margaret in (2003)

Journal of Investment Compliance,volume 4,issue 2 , Vol. 4, Iss. 2, 2003-01 , pp. 45-53

Emerald Group Publishing Ltd

Abstract Access to resources Recommend Favorite

Once the cat is out of the bag: Whether the doctrine of selective waiver applies to preserve privilege when information is voluntarily disclosed to the SEC or other government agencies

By Raylesberg Alan in (2003)

Journal of Investment Compliance,volume 4,issue 2 , Vol. 4, Iss. 2, 2003-01 , pp. 55-59

Emerald Group Publishing Ltd

Abstract Access to resources Recommend Favorite

SEC guidance on broker-dealer expense-sharing arrangements

By Cohen Lawrence in (2003)

Journal of Investment Compliance,volume 4,issue 2 , Vol. 4, Iss. 2, 2003-01 , pp. 60-62

Emerald Group Publishing Ltd

Abstract Access to resources Recommend Favorite

The â–œUnhappy Lotâ–?: Limits on preferred stock protective provisions

By S. Hammersmith Gary in (2003)

Journal of Investment Compliance,volume 4,issue 2 , Vol. 4, Iss. 2, 2003-01 , pp. 63-68

Emerald Group Publishing Ltd

Abstract Access to resources Recommend Favorite

Breakpoints: The need for education and technology

By M. Graham II Nelson in (2003)

Journal of Investment Compliance,volume 4,issue 2 , Vol. 4, Iss. 2, 2003-01 , pp. 69-71

Emerald Group Publishing Ltd

Abstract Access to resources Recommend Favorite

Total 10 item(s)