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Securities and Exchange Commission (SEC)
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United States
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Compliance
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Pershkow, Amy Ward
Nathan, Daniel A.
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Journal of Investment Compliance
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The journal of investment compliance
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1
US
securities
and
exchange
commission
's division of investment management issues guidance regarding robo-advisers
Monaco, Stephanie M.
;
Pershkow, Amy Ward
;
Cruz, Leslie S.
; …
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 26-33
Persistent link: https://www.econbiz.de/10011804762
Saved in:
2
US
securities
and
exchange
commission
’s division of investment management issues guidance regarding robo-advisers
Monaco, Stephanie M.
;
Pershkow, Amy Ward
;
Cruz, Leslie S.
; …
- In:
Journal of Investment Compliance
18
(
2017
)
3
,
pp. 26-33
(Staff) at the US
Securities
and
Exchange
Commission
(SEC) on how robo-advisers may meet their disclosure, suitability and …
Persistent link: https://www.econbiz.de/10014893780
Saved in:
3
US
Securities
and
Exchange
Commission
settles administrative action against fund manager concerning use of fund assets to pay management company expenses
Pershkow, Amy Ward
;
Kanter, Adam D.
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 55-58
Persistent link: https://www.econbiz.de/10011438496
Saved in:
4
US
Securities
and
Exchange
Commission
settles administrative action against fund manager concerning use of fund assets to pay management company expenses
Pershkow, Amy Ward
;
Kanter, Adam D.
- In:
Journal of Investment Compliance
16
(
2015
)
4
,
pp. 55-58
Purpose – To explain a recently settled administrative proceeding that the US
Securities
and
Exchange
Commission
(SEC …
Persistent link: https://www.econbiz.de/10014893844
Saved in:
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