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Journal of Investment Compliance
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Journal of Investment Compliance

Volume 4 Issue 3

Published: 2003 | Start Page: 7

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Articles

Articles
Article No: Article Information:
1529072 Hedge fund marketing by broker-dealers questions and comments in response to recent developments
Michael R. Butowsky, Michele L. Gibbons (pp. 7-12)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529073 Hedge fund use of soft dollars
Gerald T. Lins (pp. 15-20)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529074 Managing conflicts of interest: U.K. initiatives
David Capps, Simon Firth, Alix Prentice (pp. 21-28)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529146 Regulation FD - What the SEC’s recent enforcement actions teach about avoiding liability
Todd R. David, Oni A. Holley (pp. 29-34)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529075 New era dawns for listed companies: NYSE and Nasdaq adopt final corporate governance rules
Vasiliki B. Tsaganos, Lawrence R. Bard, Erika J. Moore (pp. 35-46)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529076 Global investment management survey identifies regulatory and compliance issues as top industry challenge
PricewaterhouseCoopers LLP (pp. 47-51)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529077 The independence of financial analysts: evaluation of an alternative proposal
Andreas Krause (pp. 52-57)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529078 Know your customer: Good for compliance, great for client service
Nelson M. Graham (pp. 58-61)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529079 Does the SEC focus on the right things?
Saul S. Cohen (pp. 62-67)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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