Emerald Login
   

Welcome guest



Journal of Investment Compliance
Browse
User Guides
Online Access
Journal Information

Journal of Investment Compliance

Volume 3 Issue 4

Published: 2003 | Start Page: 5

Icon Key:   Icon: Requires login or subscription. Requires login or subscription   Icon: Backfiles. Backfiles   Icon: EarlyCite. EarlyCite

Articles

Articles
Article No: Article Information:
1529047 Supervising the supervisors: internal controls in the brokerage industry
Denise S. Saxon, Beth D. Kieswetter (pp. 5-12)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
Icon: Requires login or subscription. View HTML | View PDF (392 KB) | Reprints & Permissions
1529048 Reporting up-the-ladder and the double negative: Applying the new standards of attorney conduct under the Sarbanes-Oxley Act
Mark Anson (pp. 13-15)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
Icon: Requires login or subscription. View HTML | View PDF (287 KB) | Reprints & Permissions
1529049 Sarbanes-Oxley: investment company compliance
Barry I. Pershkow (pp. 16-30)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: General review
Icon: Requires login or subscription. View HTML | View PDF (372 KB) | Reprints & Permissions
1529050 Proxy voting: the rules and industry reaction
Victoria P. Hulick (pp. 31-35)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
Icon: Requires login or subscription. View HTML | View PDF (327 KB) | Reprints & Permissions
1529051 The keys to effective mediation advocacy
Deborah Masucci (pp. 36-39)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
Icon: Requires login or subscription. View HTML | View PDF (283 KB) | Reprints & Permissions
1529052 New scrutiny of broker-dealers’ expense sharing arrangements
Lawrence Cohen (pp. 40-43)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
Icon: Requires login or subscription. View HTML | View PDF (288 KB) | Reprints & Permissions
1529053 Functional regulation in the 21st century: What’s reasonable for investor protection and for agents selling variable annuities?
David Brant, Royce Griffin (pp. 44-55)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
Icon: Requires login or subscription. View HTML | View PDF (483 KB) | Reprints & Permissions
1529054 Research analysts’ conflicts of interest: a global solution
Karl Sanderson (pp. 56-63)
Keywords: Financial institutions, Investment funds, Investments, Investors
ArticleType: Viewpoint
Icon: Requires login or subscription. View HTML | View PDF (380 KB) | Reprints & Permissions