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~isPartOf:"The journal of investment compliance"
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The journal of investment compliance
Journal of securities operations & custody
62
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ECONIS (ZBW)
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The SEC provides new
custody
rule guidance to investment advisers
Wirig, Matthew T.
;
Poorbaugh, Kate S.
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 9-12
Persistent link: https://www.econbiz.de/10011704623
Saved in:
2
OCIE to investment advisers : focus on these five problem areas
Peltz, Brynn D.
;
Nissan, Ilan S.
;
Rabinowitz, Evyn W.
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 16-18
Persistent link: https://www.econbiz.de/10011704661
Saved in:
3
SEC publishes important guidance on the
Custody
Rule, participating affiliate arrangements, robo-advisers, Form PF and certain compliance topics
Larson, Joyce E.
;
Brown, Kara J.
;
Bell, Ivet A.
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 34-40
Persistent link: https://www.econbiz.de/10011804766
Saved in:
4
SEC fines alternative mutual fund adviser for improper handling of fund assets
McGrath, Michael R.
;
Man, Pablo J.
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 35-37
Persistent link: https://www.econbiz.de/10011405524
Saved in:
5
SEC adopts new financial responsibility and reporting requirements for US-registered broker-dealers
Curzon, Elliott
;
Wingler, Jeanette
- In:
The journal of investment compliance
14
(
2013
)
4
,
pp. 38-43
Persistent link: https://www.econbiz.de/10010229670
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