Journal of Investment Compliance,volume 5,issue 3  (01-2014)

Period of time： 2014年3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 5,issue 3

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Short sales: New rules and recent enforcement actions

By M. Weiner Perrie,Totino Edward,D. Weber Robert in (2004)

Journal of Investment Compliance,volume 5,issue 3 , Vol. 5, Iss. 3, 2004-01 , pp. 9-14

Emerald Group Publishing Ltd

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Preventing Sarbanes-Oxley and other Whistleblower claims

By L. Rosenberg Jill in (2004)

Journal of Investment Compliance,volume 5,issue 3 , Vol. 5, Iss. 3, 2004-01 , pp. 15-20

Emerald Group Publishing Ltd

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Broker-dealer customer complaints

By J. Donovan Daniel in (2004)

Journal of Investment Compliance,volume 5,issue 3 , Vol. 5, Iss. 3, 2004-01 , pp. 21-25

Emerald Group Publishing Ltd

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KPMG Survey: Banks accept more costly money-laundering laws, expect heightened cooperation with regulators

By S. Zimiles Ellen in (2004)

Journal of Investment Compliance,volume 5,issue 3 , Vol. 5, Iss. 3, 2004-01 , pp. 26-30

Emerald Group Publishing Ltd

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Supervisory controls

By L. Lavell Joan in (2004)

Journal of Investment Compliance,volume 5,issue 3 , Vol. 5, Iss. 3, 2004-01 , pp. 31-34

Emerald Group Publishing Ltd

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Investment adviser: Failure of duty to supervise

By M. Knoblock Elizabeth in (2004)

Journal of Investment Compliance,volume 5,issue 3 , Vol. 5, Iss. 3, 2004-01 , pp. 35-41

Emerald Group Publishing Ltd

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Model compliance: Avoiding the hard-knocks life so the sun will Come out tomorrow

By Hurley Lisa in (2004)

Journal of Investment Compliance,volume 5,issue 3 , Vol. 5, Iss. 3, 2004-01 , pp. 42-45

Emerald Group Publishing Ltd

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The Benefits and potential pitfalls of cooperating with regulatory agencies and the government: How to navigate the minefield

By S. Davis Harry,F. Alestra Mary in (2004)

Journal of Investment Compliance,volume 5,issue 3 , Vol. 5, Iss. 3, 2004-01 , pp. 46-54

Emerald Group Publishing Ltd

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How much (and how conflicted) is that portfolio manager in the window? Implications of the SEC proposed rule on enhanced portfolio management disclosure for registered investment companies

By A. Hartmann James in (2004)

Journal of Investment Compliance,volume 5,issue 3 , Vol. 5, Iss. 3, 2004-01 , pp. 55-58

Emerald Group Publishing Ltd

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Living through an SEC investigation: A primer for chief compliance officers

By M. Meisner Derek in (2004)

Journal of Investment Compliance,volume 5,issue 3 , Vol. 5, Iss. 3, 2004-01 , pp. 59-63

Emerald Group Publishing Ltd

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