Volume 18; Issue 2

Journal of Investment Compliance

Volume 18; Issue 2
1

Shadow Banking Regime: Assessment of Investment Funds

Prorokowski, Lukas
Journal:
Journal of Investment Compliance
Year:
2017
Language:
english
File:
PDF, 259 KB
english, 2017
3

What is a Regulation SHO Bona-fide Market Maker?

Dombach, James P., Bergmann, Larry E.
Journal:
Journal of Investment Compliance
Year:
2017
Language:
english
File:
PDF, 310 KB
english, 2017
4

The SEC provides new custody rule guidance to investment advisers

Wirig, Matthew T., Poorbaugh, Kate S.
Journal:
Journal of Investment Compliance
Year:
2017
Language:
english
File:
PDF, 84 KB
english, 2017
7

CFTC adopts amendments to position limit aggregation rules

Bruynes, J.P., Daniel, Jason, Walker, Libbie
Journal:
Journal of Investment Compliance
Year:
2017
Language:
english
File:
PDF, 85 KB
english, 2017