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Journal of Investment Compliance
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Journal of Investment Compliance

Volume 5 Issue 2

Published: 2004 | Start Page: 16

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Articles

Articles
Article No: Article Information:
1529148 Investment Company Governance
Jay G. Baris, Arielle Warshall (pp. 16-22)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529102 Investment company director responsibilities in the wake of recent regulatory action
Robert W. Helm, Megan C Johnson (pp. 23-28)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529103 SEC proposes rules requiring offshore advisers of offshore hedge funds to register under the advisers act
David A. Goldstein, Bryan Kelly (pp. 29-33)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529104 Principles of global fund governance
C. Meyrick Payne (pp. 34-43)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529105 The great soft dollar debate
David G. Tittsworth, Geoffrey I. Edelstein (pp. 44-52)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529106 A regulatory analysis of cross trading and order aggregation
Jennifer Zordani (pp. 53-58)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529107 To buy, or not to buy: When it makes sense to Utilize the fund administrator as CCO
Lisa Hurley (pp. 59-61)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529108 Business continuity plans: An overview
Joan L. Lavell (pp. 62-64)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529109 Preparing to comply with the SEC’s new rules governing offerings of asset-backed securities
Edward E. Gainor (pp. 65-70)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529110 The securities law implications of pooled income fund sales: Who is taking grandma’s money and why are they wearing suspenders?
Robert N Sobol (pp. 71-84)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529111 Riggs order articulates bank secrecy act compliance requirements
Paul S Pilecki, Michael A. Mancusi (pp. 85-86)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529112 An inside look at audit committees
Deborah Hicks Midanek (pp. 87-92)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529113 How boards head off problems in their organizations
Jim Peters (pp. 93-96)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529114 Responsibilities of principal executive officers under the Sarbanes-Oxley Act of 2002: A compliance checklist
David C. Fischer (pp. 97-105)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529115 Enhancing the value of fairness opinions: Limiting risk in the post-enron era
Pamela M. O’Neill (pp. 106-108)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529116 Current trends in D&O Insurance
Representatives (pp. 109-119)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529117 Preventing, deterring, and detecting fraud: What works and what doesn’t
Toby J.F. Bishop (pp. 120-127)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529118 Early detection checklist: Searching for the signs of fraud at work
Alice Conway (pp. 128-132)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529119 Preventing computer fraud means outwitting a horde of hackers, crackers, spoofers, and sniffers
Greg Hanna (pp. 133-137)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529120 Slicing the salami: small-dollar recurring fraud
David Zweighaft (pp. 138-142)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529121 What to do when the government calls
Steven Kimelman (pp. 143-147)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529122 When hindsight is 20/20: Five key questions to ask at the start of an internal investigation
Dennis Codon, Sari K.M. Laitinen, Karin L. Vaccaro, B Todd Jones (pp. 148-154)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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