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Journal of Investment Compliance
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Journal of Investment Compliance

Volume 5 Issue 3

Published: 2004 | Start Page: 9

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Articles

Articles
Article No: Article Information:
1529123 Short sales: New rules and recent enforcement actions
Perrie M. Weiner, Edward Totino, Robert D. Weber (pp. 9-14)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529124 Preventing Sarbanes-Oxley and other Whistleblower claims
Jill L. Rosenberg (pp. 15-20)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529125 Broker-dealer customer complaints
Daniel J. Donovan (pp. 21-25)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529126 KPMG Survey: Banks accept more costly money-laundering laws, expect heightened cooperation with regulators
Ellen S. Zimiles (pp. 26-30)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Research paper
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1529127 Supervisory controls
Joan L. Lavell (pp. 31-34)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529128 Investment adviser: Failure of duty to supervise
Elizabeth M. Knoblock (pp. 35-41)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529129 Model compliance: Avoiding the hard-knocks life so the sun will Come out tomorrow
Lisa Hurley (pp. 42-45)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529130 The Benefits and potential pitfalls of cooperating with regulatory agencies and the government: How to navigate the minefield
Harry S. Davis, Mary F. Alestra (pp. 46-54)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529131 How much (and how conflicted) is that portfolio manager in the window? Implications of the SEC proposed rule on enhanced portfolio management disclosure for registered investment companies
James A. Hartmann (pp. 55-58)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529132 Living through an SEC investigation: A primer for chief compliance officers
Derek M. Meisner (pp. 59-63)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529133 Making the most of an internal investigation
Ken Yormark (pp. 64-66)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529149 The Use of fraud examiners in the battle against occupational fraud and abuse
Monika J. Machen, Robert E. Richards (pp. 67-71)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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