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Journal of Investment Compliance
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Journal of Investment Compliance

Volume 8 Issue 3

Published: 2007 | Start Page: 5

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Articles

Articles
Article No: Article Information:
1626705 The SEC's enforcement of procedures to prevent insider trading
Brian A. Ochs (pp. 5-18)
Keywords: Financial management, Insider trading
ArticleType: General review
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1626706 Cross-border access to US investors: some recent proposals
Edward J. Ferraro (pp. 19-30)
Keywords: Foreign exchange, Investors
ArticleType: Technical paper
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1626707 The Foreign Corrupt Practices Act: recent cases and enforcement trends
Betty Santangelo, Gary Stein, Margaret Jacobs (pp. 31-55)
Keywords: Bribery, Corruption, Government
ArticleType: Technical paper
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1626708 Court decision on hedge fund registration requirements derails SEC fraud case
Steven N. Machtinger (pp. 56-59)
Keywords: Government policy, Hedging, United States of America
ArticleType: Case study
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1626709 Final Section 409A regulations and their effect on offshore hedge fund deferral arrangements
Elizabeth Shea Fries, Adrienne A. Scerbak, Marian A. Tse, Scott A. Webster (pp. 60-63)
Keywords: External markets, Hedging, Regulation, United States of America
ArticleType: Technical paper
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1626710 China introduces margin trading and securities lending
TieCheng Yang, Lucas Wang (pp. 64-70)
Keywords: China, Loans, Regulation, Securities, Trade
ArticleType: Technical paper
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1626711 Path to investment success lined with hidden traps
Joe Borg (pp. 71-74)
Keywords: Fraud, Investments, Protectionism
ArticleType: Technical paper
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1626712 Making a security and compliance investment: how to value what you pay for
Murray Mazer (pp. 75-78)
Keywords: Data security, Investments, Securities
ArticleType: Viewpoint
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1626713 Summary of selected actions by NASD, April-June 2007
Henry A. Davis (pp. 79-94)
Keywords: Investments, Regulation
ArticleType: Technical paper
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Editor column

Editor column
Item No: Item Information
1626806 Editor column
Journal: Journal of Investment Compliance
Vol : 8 Issue: 3
Author(s): Henry A. Davis
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