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Journal of Investment Compliance
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Journal of Investment Compliance

Volume 5 Issue 4

Published: 2005 | Start Page: 9

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Articles

Articles
Article No: Article Information:
1529134 Hedge fund managers: Summary and implications of new rules requiring SEC registration
Carolyn E. Taylor (pp. 9-17)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529135 Registering a hedge fund manager as an investment Adviser: A practical guide through the process
David Scherl, David Barnett, David Lerner (pp. 18-25)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529136 We have to register? At least now we can advertise!
Ricardo W. Davidovich (pp. 26-35)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529137 How much is that security worth? Valuation issues and recommendations for hedge fund advisers post-registration
Derek M. Meisner (pp. 36-39)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529138 Prime brokerage and capital introduction: Regulatory background
Robert L. Stype (pp. 40-45)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529139 Mutual funds, NSMIA and the state securities regulators – When do state enforcement remedies become improper regulation?
W. Hardy Callcott (pp. 46-54)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529140 The increasing risk of legal challenges to an employer’s compensation policies and practices: Considerations for compensation self-assessment
Christopher P. Reynolds, Richard W. Black (pp. 55-59)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529141 Opting out of the “opt-out” provision: The new order protection rule from the SEC
Mark Anson (pp. 60-66)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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1529142 Adviser “client notice and consent” for principal trades and the impact of “real-time” reporting
Lawrence Cohen (pp. 67-71)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: General review
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1529143 At the brink of regulatory convergence
Don Vangel (pp. 72-75)
Keywords: Financial institutions, Investment funds, Investments, Investments, Investors
ArticleType: Viewpoint
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