Emerald Login
   

Welcome guest



Journal of Investment Compliance
Browse
User Guides
Online Access
Journal Information

Journal of Investment Compliance

Volume 4 Issue 2

Published: 2003 | Start Page: 7

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

Articles

Articles
Article No: Article Information:
1529064 The selling away case: Rethinking the firm’s defenses
Aegis J. Frumento, Stephanie Korenman (pp. 7-14)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
Icon: Requires login or subscription. View HTML | View PDF (83 KB) | Reprints & Permissions
1529144 Research analyst independence: Efforts to eliminate conflicts lead to conflicting requirements
Yoon-Young Lee, Stephanie Nicolas (pp. 15-24)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
Icon: Requires login or subscription. View HTML | View PDF (98 KB) | Reprints & Permissions
1529065 Untoward employee whistleblower claims under Sarbanes-Oxley
Cheryl Bryson, Robert Bramnik, Rachel Lutner (pp. 25-30)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
Icon: Requires login or subscription. View HTML | View PDF (71 KB) | Reprints & Permissions
1529066 The compliance gap
(pp. 31-38)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
Icon: Requires login or subscription. View HTML | View PDF (106 KB) | Reprints & Permissions
1529145 It’s the cover-up that will get you!
Frank C. Razzano (pp. 39-44)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
Icon: Requires login or subscription. View HTML | View PDF (70 KB) | Reprints & Permissions
1529067 New PATRIOT Act deadlines approach for broker-dealers: Customer identification programs to be implemented by October 1, 2003
Betty Santangelo, Margaret Jacobs (pp. 45-53)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
Icon: Requires login or subscription. View HTML | View PDF (97 KB) | Reprints & Permissions
1529068 Once the cat is out of the bag: Whether the doctrine of selective waiver applies to preserve privilege when information is voluntarily disclosed to the SEC or other government agencies
Alan Raylesberg (pp. 55-59)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
Icon: Requires login or subscription. View HTML | View PDF (71 KB) | Reprints & Permissions
1529069 SEC guidance on broker-dealer expense-sharing arrangements
Lawrence Cohen (pp. 60-62)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
Icon: Requires login or subscription. View HTML | View PDF (48 KB) | Reprints & Permissions
1529070 The “Unhappy Lot”: Limits on preferred stock protective provisions
Gary S. Hammersmith (pp. 63-68)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
Icon: Requires login or subscription. View HTML | View PDF (70 KB) | Reprints & Permissions
1529071 Breakpoints: The need for education and technology
Nelson M. Graham II (pp. 69-71)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
Icon: Requires login or subscription. View HTML | View PDF (45 KB) | Reprints & Permissions