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Journal of Investment Compliance
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Journal of Investment Compliance

Volume 4 Issue 1

Published: 2003 | Start Page: 7

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Articles

Articles
Article No: Article Information:
1529055 Hedge funds: The regulatory landscape at a crossroads
Jedd Wider, Kevin Scanlan (pp. 7-12)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529056 Preliminary steps to establishing research analyst independence
Samuel J. Winer, Amy N. Kroll (pp. 13-17)
Keywords: Financial institutions, Investment funds, Investments, Investments, investors
ArticleType: Viewpoint
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1529057 Compliance in a multi-regulatory environment: An Interview with Lawrence A. Friend, Partner, PricewaterhouseCoopers LLP
(pp. 18-21)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529058 Complying with the SEC’s new proxy voting rules
Kathleen K. Clarke, Paul M. Miller (pp. 22-25)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529059 Private equity securities: A compliance update for broker-dealers and investment advisers
John H. Walsh (pp. 26-32)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529060 The fair valuation mess
David F. Freeman (pp. 33-37)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529061 The new face of money laundering
Greg Baldwin (pp. 38-41)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529062 Knowing your customer and culture: An integrated approach to USA Patriot Act Compliance
Vincent Manning, Marc Spitzner, Ralph C. Martin II, Donald J. Savery (pp. 42-44)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529063 A primer on private placements and achieving liquidity in cross-border offerings
Guy P. Lander (pp. 45-55)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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