Journal of Investment Compliance,volume 9,issue 4  (11-2014)

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 9,issue 4

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International initiatives in market regulation: the storm before the calm?

By Grieve Chuck,Gleeson Simon,Crown Simon in (2008)

Journal of Investment Compliance,volume 9,issue 4 , Vol. 9, Iss. 4, 2008-11 , pp. 5-8

Emerald Group Publishing Ltd

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Pitfalls for non-US financial institutions undertaking business in the US

By Grieve Chuck,Plews Tim,Pax Thomas,Houck Robert in (2008)

Journal of Investment Compliance,volume 9,issue 4 , Vol. 9, Iss. 4, 2008-11 , pp. 9-12

Emerald Group Publishing Ltd

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SEC holds round-table on fair value accounting and auditing standards

By Friedmann Thomas J.,Zacharski Anthony H.,Bancroft Margaret A.,Mulvihill Roger,Reading Susan A.,Williams Robert J.,Rosenblat Alan in (2008)

Journal of Investment Compliance,volume 9,issue 4 , Vol. 9, Iss. 4, 2008-11 , pp. 13-17

Emerald Group Publishing Ltd

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SEC provides guidance regarding use of company web sites to disclose information for investors

By Lese Laurence S.,Chowdhury Azim in (2008)

Journal of Investment Compliance,volume 9,issue 4 , Vol. 9, Iss. 4, 2008-11 , pp. 18-21

Emerald Group Publishing Ltd

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SEC proposes mandatory use of XBRL tagging of financial statements

By Romeo Peter J.,Parrino Richard J.,Bell Julie A. in (2008)

Journal of Investment Compliance,volume 9,issue 4 , Vol. 9, Iss. 4, 2008-11 , pp. 22-26

Emerald Group Publishing Ltd

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SEC proposes guidelines for directors overseeing mutual fund portfolio trading

By Strench Bibb L. in (2008)

Journal of Investment Compliance,volume 9,issue 4 , Vol. 9, Iss. 4, 2008-11 , pp. 27-32

Emerald Group Publishing Ltd

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SEC staff highlights areas of focus in broker-dealer, investment adviser and investment company exams

By Blake Margaret R. in (2008)

Journal of Investment Compliance,volume 9,issue 4 , Vol. 9, Iss. 4, 2008-11 , pp. 33-38

Emerald Group Publishing Ltd

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President's working group committee reports weigh in on side letters

By Ohayon Lior J.,Lee Terisa H. in (2008)

Journal of Investment Compliance,volume 9,issue 4 , Vol. 9, Iss. 4, 2008-11 , pp. 39-41

Emerald Group Publishing Ltd

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CFTC Reauthorization Act of 2008 enacted into law

By Ervin Susan C.,Hinkle Philip T.,Fox Brendan C.,Rosenblat Alan in (2008)

Journal of Investment Compliance,volume 9,issue 4 , Vol. 9, Iss. 4, 2008-11 , pp. 43-47

Emerald Group Publishing Ltd

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Pleading scienter after Tellabs in Section 10(b) cases generally and in the "subprime" context

By Jacobs Caryn,Strauss Jeffrey M.,Jr John J. Tharp,Agonis Katherine in (2008)

Journal of Investment Compliance,volume 9,issue 4 , Vol. 9, Iss. 4, 2008-11 , pp. 48-67

Emerald Group Publishing Ltd

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