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Journal of Investment Compliance
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Journal of Investment Compliance

Volume 5 Issue 1

Published: 2004 | Start Page: 7

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Articles

Articles
Article No: Article Information:
1529091 Who should pay for e-discovery? Examining the Zubulake Approach
Peter J. Beshar, Michael J. Passante (pp. 7-12)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Case study
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1529092 Transaction costs and best execution: Compliance and measurement
Wayne H. Wagner (pp. 13-19)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529093 Best execution for investment advisers - The goal and the process
Margaret R.A. Paradis (pp. 20-24)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529094 SEC proposes significant changes to current market structure
Laura Pruitt, Howard Kramer (pp. 25-32)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529095 Understanding behavior detection technology: How it finds suspicious behaviors and meets requirements of new compliance environment
Peter Adams, Nancy M. Smith (pp. 33-38)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529096 Institutional brokerage anti-money laundering detection scenarios - Filling the gaps
Robert N. Sobol (pp. 39-43)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529097 Soft dollars: A hot-button issue ripe for reform
Alan C. Porter, Francine J. Rosenberger (pp. 44-49)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529098 An overview of advisers act requirements for hedge fund managers
Terrance J. O’Malley (pp. 50-56)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529099 Further thoughts regarding research analysts conflicts of interest: The 2004 joint memorandum
Amy N. Kroll, Valérie Demaret-Fleming (pp. 57-65)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529100 ERISA and hedge funds
Gerald T. Lins (pp. 66-68)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529101 ERISA for securities professionals
Richard K. Matta (pp. 69-83)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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