Journal of Investment Compliance,volume 13,issue 2  (06-2014)

Period of time： 2014年2期

Publisher： Emerald Group Publishing Ltd

Founded in： 2000

Total resources： 40

ISSN： 1528-5812

Subject： F8 Finances

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Journal of Investment Compliance,volume 13,issue 2

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Regulatory watch list for 2012: the shifting landscape for hedge funds and other private funds

By Cain James M.,Frydman Daphne G.,Jr David Roby,Koffler Michael,Ramirez Raymond A. in (2012)

Journal of Investment Compliance,volume 13,issue 2 , Vol. 13, Iss. 2, 2012-06 , pp. 6-14

Emerald Group Publishing Ltd

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CFTC adopts significant changes to CPO and CTA registration and compliance requirements

By Rosenzweig Kenneth M.,Cohen Wendy E.,Okoshi Marilyn S.,Santo Fred M. in (2012)

Journal of Investment Compliance,volume 13,issue 2 , Vol. 13, Iss. 2, 2012-06 , pp. 15-19

Emerald Group Publishing Ltd

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All advisers to registered investment companies need to evaluate their exposure to CFTC regulation after recent rule amendment

By Shea Peter J.,Moriarty Kathleen H.,Rosenzweig Kenneth M.,Sorady Marybeth,Xethalis Gregory E. in (2012)

Journal of Investment Compliance,volume 13,issue 2 , Vol. 13, Iss. 2, 2012-06 , pp. 20-24

Emerald Group Publishing Ltd

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Next phase of FATCA guidance arrives with proposed regulations and announcement of possible intergovernmental approach

By Wise Roger S.,Baker Mary Burke in (2012)

Journal of Investment Compliance,volume 13,issue 2 , Vol. 13, Iss. 2, 2012-06 , pp. 25-39

Emerald Group Publishing Ltd

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Supervisory obligations of broker-dealer legal and compliance personnel after the Urban case

By Blanc Roger D.,Kramer Howard L.,Miller Martin R.,Comstock Matthew B. in (2012)

Journal of Investment Compliance,volume 13,issue 2 , Vol. 13, Iss. 2, 2012-06 , pp. 40-43

Emerald Group Publishing Ltd

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SEC publishes risk alert on investment adviser use of social media

By Robinson Keith T.,II Joseph P. Kelly,Baron Andrea E. in (2012)

Journal of Investment Compliance,volume 13,issue 2 , Vol. 13, Iss. 2, 2012-06 , pp. 44-47

Emerald Group Publishing Ltd

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US Securities and Exchange Commission amends dollar threshold tests under qualified client standard, requires exclusion of net equity in primary residence

By Cohen Rory M. in (2012)

Journal of Investment Compliance,volume 13,issue 2 , Vol. 13, Iss. 2, 2012-06 , pp. 48-51

Emerald Group Publishing Ltd

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Lehman Brothers: treatment of TBA contracts

By Sosnick Fredric,Schodek Ned S.,Loo Alexa J. in (2012)

Journal of Investment Compliance,volume 13,issue 2 , Vol. 13, Iss. 2, 2012-06 , pp. 52-56

Emerald Group Publishing Ltd

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Venture capital funds - recent European developments

By McGowan Peter,Everitt Kimberly in (2012)

Journal of Investment Compliance,volume 13,issue 2 , Vol. 13, Iss. 2, 2012-06 , pp. 57-59

Emerald Group Publishing Ltd

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International distribution of mutual funds legal and compliance issues: historical considerations and practical pointers

By Sobol Robert N. in (2012)

Journal of Investment Compliance,volume 13,issue 2 , Vol. 13, Iss. 2, 2012-06 , pp. 60-65

Emerald Group Publishing Ltd

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