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Home > Journal of Investment Compliance > Table of contents:Volume 9 issue 1
Journal of Investment Compliance
ISSN: 1528-5812
Online from: 2000
Subject Area: Accounting and Finance
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Table of contents:
Volume 9 issue 1
Published: 2008, Start page: p5Icon key: 
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You have access to this item Backfiles Earlycite Abstract only | Article Id: | Article Information: |
|---|---|
| 1714169 | The Andrew Edison (pp. 5 - 9) Keywords: Fraud, Legislation, Liability, Securities, United States of America Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (53kb) ] | Reprints & permissions |
| 1714170 | The FSA begins to “think tough” on insider dealing: but will thoughts turn to deeds? Duncan Black, Angelo Lercara, Joe Smallhoover, Paul Huey-Burns (pp. 10 - 13) Keywords: Financial services, Insider trading, Law enforcement, Laws and legislation, United Kingdom Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (49kb) ] |
| 1714171 | Freedom of information rights may result in the FSA's views about regulated firms becoming public Carlos Conceicao, Rosalind Gray (pp. 14 - 17) Keywords: Financial services, Freedom of information, United Kingdom Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (48kb) ] | Reprints & permissions |
| 1714172 | Providers and distributors: responsibilities regarding retail structured products David Rouch, Joanna Benjamin, Michael Raffan, Mark Kalderon, Simon Orton (pp. 18 - 23) Keywords: Financial institutions, Financial services, Laws and legislation, United Kingdom Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (61kb) ] |
| 1714173 | The changing tax environment for the UK hedge fund sector Dana Ward (pp. 24 - 29) Keywords: Financial management, Investments, Off shore investments, Taxation, United Kingdom Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (57kb) ] | Reprints & permissions |
| 1714174 | SEC adopts Amendments to Rule 105 of Regulation M, including important exceptions for bona fide purchases and for separate accounts Charles S. Gittleman, Russell D. Sacks (pp. 30 - 34) Keywords: Laws and legislation, Securities markets, United States of America Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (57kb) ] | Reprints & permissions |
| 1714223 | North American Securities Administrators Association 2007 Report of Investment Adviser Examinations (pp. 35 - 39) Keywords: Examinations, Financial services, North America, Professional qualifications, Securities markets Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (112kb) ] | Reprints & permissions |
| 1714176 | Taking the risk out of mutual fund compliance: a seven-step check list for safer, more cost-efficient mutual fund sales Jeff Levering (pp. 40 - 44) Keywords: Data management, Financial markets, Financial services, Funds statements, Risk management, United States of America Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (51kb) ] | Reprints & permissions |
| 1714177 | Summary of selected FINRA Regulatory Notices and Disciplinary Actions Henry A. Davis (pp. 45 - 56) Keywords: Financial markets, Regulation, Securities markets, United States of America Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (86kb) ] | Reprints & permissions |
Editor column
| Article Id: | Article Information: |
|---|---|
| 1714178 | Editor column Henry A Davis, James A.Tricarico Jr Abstract | View HTML |
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