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Journal of Investment Compliance

Volume 8 Issue 1

Published: 2007 | Start Page: 4

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Articles

Articles
Article No: Article Information:
1597999 Hedge fund regulation: current trends in the industry
Michael S. Lukaj, Girard M. Healy (pp. 4-12)
Keywords: Hedging, Legislation, Pensions, United States of America
ArticleType: Research paper
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1598000 Hedge fund side letters: guidance for UK managers
Peter D. Astleford, Richard Frase, Andrew Hougie, Stuart Martin (pp. 13-15)
Keywords: Alternative investment markets, Financial services, Hedging, Investment funds
ArticleType: Technical paper
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1598001 Insider trading
Timothy P. Burke, Hope M. Jarkowski (pp. 16-21)
Keywords: Acquisitions and mergers, Financial management, Insider trading
ArticleType: Technical paper
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1598002 DOJ's Antitrust Division places opening bid on private equity firm investigation
Geraldine Alexis, Troy Sauro (pp. 22-24)
Keywords: Auctions, Competitive strategy, Equity capital
ArticleType: Technical paper
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1598003 NASD expands broker-dealer's duty of best execution
Soo J. Yim, Christie Farris Öberg (pp. 25-28)
Keywords: Financial institutions, Financial management
ArticleType: Technical paper
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1598004 Share-class suitability: taking the guesswork out of mutual fund remediation
Bhaskar Dhandapani (pp. 29-35)
Keywords: Financial institutions, Unit trusts
ArticleType: Technical paper
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1598005 FASB statement on fair value measurements
Anthony H. Zacharski, Alan Rosenblat, Erin Wagner, Adam Teufel (pp. 36-39)
Keywords: Financial institutions, Financial reporting
ArticleType: Technical paper
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1598006 Integrating Sarbanes-Oxley controls into an investment firm governance framework
J. Louis Anon, Harry Filowitz, Jeffrey M. Kovatch (pp. 40-43)
Keywords: Corporate governance, Financial institutions
ArticleType: Technical paper
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1598007 SEC votes to amend and clarify operation of redemption fee rule
Jeffrey Puretz, Robert Robertson, Alan Rosenblat, Jutta Frankfurter, Cortney Scott (pp. 44-48)
Keywords: Financial institutions, Shareholders
ArticleType: Technical paper
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Editor column

Editor column
Item No: Item Information
1598008 Editor column
Journal: Journal of Investment Compliance
Vol : 8 Issue: 1
Author(s): Henry A.Davis
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Note from the publisher

Emerald at 40
Item No: Item Information
1598009 Emerald at 40
Journal: Journal of Investment Compliance
Vol : 8 Issue: 1
Author(s): Rebecca Marsh
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