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Journal of Investment Compliance
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Journal of Investment Compliance

Volume 7 Issue 1

Published: 2006 | Start Page: 4

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Articles

Articles
Article No: Article Information:
1563238 Mutual funds under fire: a chrononogy of developments since January 1, 2003
Thomas R. Smith Jr (pp. 4-33)
Keywords: Arbitrage, Financial institutions, Financial markets, Unit trusts, United States of America
ArticleType: General review
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1563239 The new supervisory rules regime: a practical look at areas of exposure for broker-dealers and senior personnel
Bruce Hiler, Thomas Kuczajda, Aseel Rabie (pp. 34-42)
Keywords: Governance, Regulation, Securities, Stock exchanges, United States of America
ArticleType: General review
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1563240 Adviser recordkeeping requirements
W. John McGuire (pp. 43-54)
Keywords: Financial institutions, Legislation, Records management, Securities, United States of America
ArticleType: General review
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1563241 Overview of hedge fund tax structures
Richard S. Zarin, William P. Zimmerman (pp. 55-59)
Keywords: Fund management, Income tax, Tax planning, United States of America
ArticleType: General review
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1563242 Enhanced Cash “Yield Plus” Funds: the Treasurer's new cash management complement to money market funds
Robert N. Sobol (pp. 60-63)
Keywords: Fund management, Investments, United States of America
ArticleType: General review
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1563243 Notes on new Joint Money Laundering Steering Group (JMLSG) guidance
Terry Douglas (pp. 64-68)
Keywords: Money laundering, Risk management, United Kingdom
ArticleType: General review
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1563244 A summary of the Financial Services Authority's enforcement procedures in the United Kingdom
Robert Falkner, Jon Gerty (pp. 69-82)
Keywords: Financial Services Act, Law enforcement, United Kingdom
ArticleType: General review
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1563245 E-thics: the new moral methodology for business
Paul Johns (pp. 83-90)
Keywords: Business ethics, Corporate governance, Electronic mail, Organizational culture
ArticleType: Conceptual paper
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Editor column

Editor column
Item No: Item Information
1563246 Editor column
Journal: Journal of Investment Compliance
Vol : 7 Issue: 1
Author(s): Henry A.Davis
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