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Journal of Investment Compliance

Volume 8 Issue 2

Published: 2007 | Start Page: 4

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Articles

Articles
Article No: Article Information:
1610998 DC circuit vacates the fee-based brokerage rule
Robert B. Ericson (pp. 4-8)
Keywords: Auditor's fees, Information brokers, Investments, Laws
ArticleType: Technical paper
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1611049 Rule 12b-1: a look at the past, present and future
Michael R. Rosella, Domenick Pugliese (pp. 9-16)
Keywords: Investments, Laws and legislation, Unit trusts
ArticleType: Technical paper
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1611000 Processing swaps: controls, challenges, and considerations
Francis P. Corbett, Girard M. Healy, Kenneth R. Poudrier (pp. 17-25)
Keywords: Control systems, Exchange, Investments
ArticleType: Technical paper
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1611001 Litigation in the information age: taking discovery into the digital era to comply with new federal e-discovery requirements
Riki Fujitani, Eric Kunisaki (pp. 26-34)
Keywords: Data security, Electronic media, Litigation
ArticleType: Technical paper
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1611002 Delaware Court of Chancery issues two important decisions on stock options backdating, spring-loading and bullet-dodging
Stephen Alexander, Warren Rissier, Susan Chun (pp. 35-38)
Keywords: Compensation, Investments, Market value, Share options
ArticleType: Technical paper
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1611003 Changes in the investment adviser business in the United States
Paul D. Glenn (pp. 39-48)
Keywords: Advisory services, Financial institutions, Globalization, Hedging, Investments, United States of America
ArticleType: Research paper
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1611004 Protecting investors and the integrity of capital markets
Joseph Borg (pp. 49-51)
Keywords: Capital markets, Investments, Protectionism, United States of America
ArticleType: Technical paper
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1611005 Draft amendments to the German Investment Act
Sven Zeller (pp. 52-57)
Keywords: Germany, Investments, Laws, Regulation
ArticleType: Technical paper
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1611006 China's new rules on anti-money laundering
TieCheng Yang, Nan Zhang (pp. 58-62)
Keywords: China, Laws, Money laundering
ArticleType: Technical paper
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1611007 Implementation of the Transparency Directive changes shareholder notification requirements across Europe
Andrew Hougie, Jessica Brescia, Alexandre Marion, Katharina Ebell, Thierry Hudsyn, Pascal Bouvy (pp. 63-67)
Keywords: Disclosure, Europe, Laws, Shareholders
ArticleType: Technical paper
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1610999 Rule 12b-1: a look at the past, present and future
(pp. 9-16)
Keywords:
ArticleType: Technical paper
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Editor column

Editor column
Item No: Item Information
1611008 Editor column
Journal: Journal of Investment Compliance
Vol : 8 Issue: 2
Author(s): Henry A.Davis
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