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Journal of Investment Compliance
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Journal of Investment Compliance

Volume 7 Issue 4

Published: 2006 | Start Page: 4

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Articles

Articles
Article No: Article Information:
1581985 Recent developments in hedge fund enforcement and regulation by the SEC under the leadership of Chairman Cox suggest that he may not be the free market advocate everyone once thought he was
Nicolas Morgan, Edward Totino, Perrie Weiner (pp. 4-11)
Keywords: Litigation, Securities
ArticleType:
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1581986 The Investment Advisers Act: the need for clarity in the post-Goldstein era
Jedd Wider (pp. 12-15)
Keywords: Investment funds, Regulation
ArticleType:
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1581987 The investment company chief compliance officer: three years later – an assessment of the evolution of the role of the CCO
Michael R. Rosella, Domenick Pugliese (pp. 16-22)
Keywords: Compliance costs, Employees
ArticleType:
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1581988 Conflicts of interest chief compliance officers face in implementing compliance programs for investment funds and investment advisers
Thomas M. Majewski (pp. 23-27)
Keywords: Financial services, Investments
ArticleType:
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1581989 Compensating mutual fund advisers: a return to the basics of properly structured performance fees
F. Scott Thomas, John C. Jaye (pp. 28-37)
Keywords: Securities, Unit trusts
ArticleType: Technical paper
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1581990 NASD publishes initial proposal to change conflict of interest rules relating to underwriting of public offerings in the United States
Charles S. Gittleman, Russell D. Sacks (pp. 38-44)
Keywords: Securities, United States of America
ArticleType:
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1581991 Updates on the corporate attorney-client privilege
David M. Brodsky (pp. 45-60)
Keywords: Lawyers, United States of America
ArticleType:
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1581992 Tackling risk-based compliance
Kevin Ludwick (pp. 61-64)
Keywords: Compliance costs, Financial risk
ArticleType:
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Editor column

Editor column
Item No: Item Information
1581993 Editor column
Journal: Journal of Investment Compliance
Vol : 7 Issue: 4
Author(s): Henry A.Davis
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