Volume 18; Issue 3

Journal of Investment Compliance

Volume 18; Issue 3

1

Investment recommendations under the Market Abuse Regulation (MAR) – operative guidelines issued by the Italian Securities and Exchange Commission (CONSOB)

Parola, Lorenzo, Falco, Francesco

Journal:

Journal of Investment Compliance

Year:

2017

Language:

english

File:

PDF, 97 KB

english, 2017

2

US securities and exchange commission’s division of investment management issues guidance regarding robo-advisers

Monaco, Stephanie M., Pershkow, Amy Ward, Cruz, Leslie S., McCamman, Peter M., Getsinger, Andrew D., Kanter, Adam

Journal:

Journal of Investment Compliance

Year:

2017

Language:

english

File:

PDF, 102 KB

english, 2017

3

SEC shortens standard settlement cycle to T+2

Burns, James R., Anderson, James E., Saunders, Kimberly Beattie, Gyer, Charles F.

Journal:

Journal of Investment Compliance

Year:

2017

Language:

english

File:

PDF, 90 KB

english, 2017

4

Cross border master-feeder arrangements: SEC staff slightly expands utility of offshore feeders for global investment management firms, but tax and other challenges remain

Amorosi, Mark, Zornada, George, Gibson, Todd, Almquist, Joel, Man, Pablo J.

Journal:

Journal of Investment Compliance

Year:

2017

Language:

english

File:

PDF, 89 KB

english, 2017

5

FINRA releases guidance on social media and digital communications

Wirig, Matthew T., Poorbaugh, Kate S.

Journal:

Journal of Investment Compliance

Year:

2017

Language:

english

File:

PDF, 94 KB

english, 2017

6

SEC approves new continued listing standards for ETFs

Teufel, Adam, Geissler, Christopher J.

Journal:

Journal of Investment Compliance

Year:

2017

Language:

english

File:

PDF, 89 KB

english, 2017

7

SEC approves FINRA’s rules to protect seniors from financial exploitation

Kutner, Matthew J.

Journal:

Journal of Investment Compliance

Year:

2017

Language:

english

File:

PDF, 95 KB

english, 2017

8

AML compliance in the age of individual accountability

Greene, Carlton, Hanusik, Thomas, Stinebower, Cari, Bartle, Sarah

Journal:

Journal of Investment Compliance

Year:

2017

Language:

english

File:

PDF, 84 KB

english, 2017

9

SEC enforcement actions under exchange act rule 21F-17

White, Thomas W.

Journal:

Journal of Investment Compliance

Year:

2017

Language:

english

File:

PDF, 110 KB

english, 2017

10

CFTC’s demanding new cooperation guidelines for companies and individuals

Peace, Breon S., Park, Jennifer Kennedy, Bergen, Robin M., Bamberger, Nowell D.

Journal:

Journal of Investment Compliance

Year:

2017

Language:

english

File:

PDF, 104 KB

english, 2017

11

MIFID2 – the impact on non-EU fIRMS

Crown, Simon, Gatti, Steven F., Feldman, Matthias, Landless, Paul

Journal:

Journal of Investment Compliance

Year:

2017

Language:

english

File:

PDF, 85 KB

english, 2017

12

SEC publishes important guidance on the Custody Rule, participating affiliate arrangements, robo-advisers, Form PF and certain compliance topics

Larson, Joyce E., Brown, Kara J., Bell, Ivet A.

Journal:

Journal of Investment Compliance

Year:

2017

Language:

english

File:

PDF, 104 KB

english, 2017

13

SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme

Bondi, Bradley J., Gilman, Charles A., Petillo-Décossard, Kimberly C., Schuster, John J., Ortiz, Sara

Journal:

Journal of Investment Compliance

Year:

2017

File:

PDF, 87 KB

2017

14

SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme

Bondi, Bradley J., Gilman, Charles A., Petillo-Décossard, Kimberly C., Schuster, John J., Ortiz, Sara

Journal:

Journal of Investment Compliance

Year:

2017

Language:

english

File:

PDF, 87 KB

english, 2017

15

The FCAâs new enforcement process â what will work, and what wonât

James, Polly, Jamieson, Adam

Journal:

Journal of Investment Compliance

Year:

2017

File:

PDF, 39 KB

2017