Volume 7; Issue 4

Journal of Investment Compliance

Volume 7; Issue 4

1

The Investment Advisers Act: the need for clarity in the post‐Goldstein era

Journal:

Journal of Investment Compliance

Year:

2006

Language:

english

File:

PDF, 114 KB

english, 2006

2

Recent developments in hedge fund enforcement and regulation by the SEC under the leadership of Chairman Cox suggest that he may not be the free market advocate everyone once thought he was

Morgan, Nicolas, Totino, Edward, Weiner, Perrie

Journal:

Journal of Investment Compliance

Year:

2006

Language:

english

File:

PDF, 67 KB

english, 2006

3

Compensating mutual fund advisers: a return to the basics of properly structured performance fees

Thomas, F. Scott, Jaye, John C.

Journal:

Journal of Investment Compliance

Year:

2006

Language:

english

File:

PDF, 79 KB

english, 2006

4

NASD publishes initial proposal to change conflict of interest rules relating to underwriting of public offerings in the United States

Gittleman, Charles S., Sacks, Russell D.

Journal:

Journal of Investment Compliance

Year:

2006

Language:

english

File:

PDF, 61 KB

english, 2006

5

Updates on the corporate attorney‐client privilege

Brodsky, David M.

Journal:

Journal of Investment Compliance

Year:

2006

Language:

english

File:

PDF, 115 KB

english, 2006

6

Conflicts of interest chief compliance officers face in implementing compliance programs for investment funds and investment advisers

Majewski, Thomas M.

Journal:

Journal of Investment Compliance

Year:

2006

Language:

english

File:

PDF, 48 KB

english, 2006

7

The investment company chief compliance officer: three years later – an assessment of the evolution of the role of the CCO

Rosella, Michael R., Pugliese, Domenick

Journal:

Journal of Investment Compliance

Year:

2006

Language:

english

File:

PDF, 152 KB

english, 2006

8

Tackling risk‐based compliance

Journal:

Journal of Investment Compliance

Year:

2006

Language:

english

File:

PDF, 142 KB

english, 2006