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Journal of Investment Compliance
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Journal of Investment Compliance

Volume 3 Issue 2

Published: 2002 | Start Page: 5

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Articles

Articles
Article No: Article Information:
1529030 The Sarbanes-Oxley Act of 2002 effects sweeping changes to the US federal securities laws
Michael H. Hein, Clifford E. Neimeth, Ira N. Rosner, Fern S. Watts (pp. 5-12)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
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1529031 New rules regarding research analyst’s perceived conflicts of interest: an ever-evolving landscape
Dennis C. Hensley, Jeffrey W. Strouse (pp. 13-21)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
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1529032 Analyst liability for fraud and negligence in the modern era
Simon S. Kogan (pp. 22-25)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
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1529033 Anti-money laundering (AML) requirements for investment companies emerge as compliance deadlines approach
Alan Abel (pp. 26-30)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
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1529034 Anti-money laundering compliance for the mutual fund industry
Robert A. Robertson, Monique S. Delhomme (pp. 31-39)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: General review
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1529035 Hedge fund trading issues
Gerald T. Lins (pp. 40-43)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
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1529036 The regulation of wrap fee programs – Part II
Terrance J. O’Malley, Kenneth E. Neikirk (pp. 44-57)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: General review
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