Journal of Investment Compliance,volume 7,issue 4  (10-2014)

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 7,issue 4

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Recent developments in hedge fund enforcement and regulation by the SEC under the leadership of Chairman Cox suggest that he may not be the free market advocate everyone once thought he was

By Morgan Nicolas,Totino Edward,Weiner Perrie in (2006)

Journal of Investment Compliance,volume 7,issue 4 , Vol. 7, Iss. 4, 2006-10 , pp. 4-11

Emerald Group Publishing Ltd

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The Investment Advisers Act: the need for clarity in the post-Goldstein era

By Wider Jedd in (2006)

Journal of Investment Compliance,volume 7,issue 4 , Vol. 7, Iss. 4, 2006-10 , pp. 12-15

Emerald Group Publishing Ltd

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The investment company chief compliance officer: three years later ? an assessment of the evolution of the role of the CCO

By Rosella Michael R.,Pugliese Domenick in (2006)

Journal of Investment Compliance,volume 7,issue 4 , Vol. 7, Iss. 4, 2006-10 , pp. 16-22

Emerald Group Publishing Ltd

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Conflicts of interest chief compliance officers face in implementing compliance programs for investment funds and investment advisers

By Majewski Thomas M. in (2006)

Journal of Investment Compliance,volume 7,issue 4 , Vol. 7, Iss. 4, 2006-10 , pp. 23-27

Emerald Group Publishing Ltd

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Compensating mutual fund advisers: a return to the basics of properly structured performance fees

By Thomas F. Scott,Jaye John C. in (2006)

Journal of Investment Compliance,volume 7,issue 4 , Vol. 7, Iss. 4, 2006-10 , pp. 28-37

Emerald Group Publishing Ltd

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NASD publishes initial proposal to change conflict of interest rules relating to underwriting of public offerings in the United States

By Gittleman Charles S.,Sacks Russell D. in (2006)

Journal of Investment Compliance,volume 7,issue 4 , Vol. 7, Iss. 4, 2006-10 , pp. 38-44

Emerald Group Publishing Ltd

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Updates on the corporate attorney-client privilege

By Brodsky David M. in (2006)

Journal of Investment Compliance,volume 7,issue 4 , Vol. 7, Iss. 4, 2006-10 , pp. 45-60

Emerald Group Publishing Ltd

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Tackling risk-based compliance

By Ludwick Kevin in (2006)

Journal of Investment Compliance,volume 7,issue 4 , Vol. 7, Iss. 4, 2006-10 , pp. 61-64

Emerald Group Publishing Ltd

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Total 8 item(s)