Period of time: 2014年4期
Publisher: Emerald Group Publishing Ltd
Founded in: 2000
Total resources: 40
ISSN: 1528-5812
Subject: F8 Finances
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 8,issue 4
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Operating company or investment company: what would a reasonable investor think?
By Menconi Christopher D. in (2007)
Journal of Investment Compliance,volume 8,issue 4 , Vol. 8, Iss. 4, 2007-11 , pp.Sound policies and procedures: the basis of a sound compliance program
Journal of Investment Compliance,volume 8,issue 4 , Vol. 8, Iss. 4, 2007-11 , pp.Net trading, market making, and the SEC's view of best execution
By Becker Brandon,Newman Bruce H.,Owens Andre,Yim Soo J.,Oberg Christie in (2007)
Journal of Investment Compliance,volume 8,issue 4 , Vol. 8, Iss. 4, 2007-11 , pp.By Groskaufmanis Karl A.,Ochs Kalman in (2007)
Journal of Investment Compliance,volume 8,issue 4 , Vol. 8, Iss. 4, 2007-11 , pp.SEC adopts new anti-fraud rule for private funds
By Fries Elizabeth Shea,Galloway Jackson B.R. in (2007)
Journal of Investment Compliance,volume 8,issue 4 , Vol. 8, Iss. 4, 2007-11 , pp.By Frischer Harry,Ratner Stephen L.,Gold Sarah S.,Mashberg Gregg M.,Lazaroff Michael S. in (2007)
Journal of Investment Compliance,volume 8,issue 4 , Vol. 8, Iss. 4, 2007-11 , pp.SEC adopts amendments to Regulation SHO
By Kaswell Stuart J.,Rosenblat Alan,Ha Christopher S. in (2007)
Journal of Investment Compliance,volume 8,issue 4 , Vol. 8, Iss. 4, 2007-11 , pp.State securities legend requirements in Rule 506 private placement memos
Journal of Investment Compliance,volume 8,issue 4 , Vol. 8, Iss. 4, 2007-11 , pp.SEC and BaFin sign regulatory cooperation arrangement
Journal of Investment Compliance,volume 8,issue 4 , Vol. 8, Iss. 4, 2007-11 , pp.