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Sirignano, David A.; Farrell, Stephen P. - In: Journal of Investment Compliance 6 (2005) 2, pp. 44-47

Purpose – To summarize changes to the communication, registration, and offering process under the Securities Act of … 1933 as adopted by the Securities and Exchange Commission on June 29, 2005 – three changes that will modify and … significantly enhance the communication, registration, and offering process under the Securities Act of 1933, which according to the …

Persistent link: https://www.econbiz.de/10014893162

Trust an analyst? An investigation of conflicts of interest in an Australian investment bank

Proimos, Alex - In: Journal of Investment Compliance 6 (2005) 3, pp. 59-70

research analysts in major securities firms and conflicts of interest such as analyzing and evaluating a company for investment … Stock Exchange (ASX) and Australian Securities and Investment Commission (ASIC)) and the Australian Government to deal with …

Persistent link: https://www.econbiz.de/10014893170

Section 13 SEC reporting by advisers and brokers and Section 16 SEC reporting by “insiders” of public companies

Rosella, Michael R. - In: Journal of Investment Compliance 6 (2005) 4, pp. 4-12

Purpose – To explain reporting requirements under Section 13 of the Securities Exchange Act of 1934 (the “Exchange Act …‐traded equity securities, and to describe reporting requirements under Section 16 of the Exchange Act on certain persons considered … “insiders” of a company that has a class of equity securities registered under Section 12 of the Exchange Act. Design …

Persistent link: https://www.econbiz.de/10014893172

The evolution of compliance

Taylor, Chris - In: Journal of Investment Compliance 6 (2005) 4, pp. 54-58

background on how the compliance function originated with securities laws in the 1930s in the USA and the Financial Services Bill …

Persistent link: https://www.econbiz.de/10014893175

The new supervisory rules regime: a practical look at areas of exposure for broker‐dealers and senior personnel

Hiler, Bruce; Kuczajda, Thomas; Rabie, Aseel - In: Journal of Investment Compliance 7 (2006) 1, pp. 34-42

Purpose – The purpose of this paper is to describe the exposure and the responsibilities of a broker‐dealer's senior management under NASD's and the NYSE's new rules, emphasizing a regular review of supervisory and compliance systems. Design/methodology/approach – Describes new rules,...

Persistent link: https://www.econbiz.de/10014893182

Adviser recordkeeping requirements

McGuire, W. John - In: Journal of Investment Compliance 7 (2006) 1, pp. 43-54

Purpose – The purpose of this paper is to summarize record‐keeping requirements for Securities and Exchange Commission … categories including accounting records; records of orders to purchase and sell securities; written communications; documents …; personal securities transactions; disclosure documents; client solicitation agreements; written policies and procedures …

Persistent link: https://www.econbiz.de/10014893186

SEC releases new interpretive guidance on soft dollar arrangements

Kaswell, Stuart J.; Rosenblat, Alan; Sherman, Michael L. - In: Journal of Investment Compliance 7 (2006) 3, pp. 4-24

, 2006 by the US Securities and Exchange Commission (“SEC”) regarding the soft dollar safe harbor under Section 28(e) of the … Securities Exchange Act of 1934. Design/methodology/approach – Following a brief discussion of the history of soft dollars …

Persistent link: https://www.econbiz.de/10014893189

The downside of side letters

Levin, Ian; Scanlan, Kevin - In: Journal of Investment Compliance 7 (2006) 2, pp. 43-47

side letters. In light of the recent focus of the US Securities and Exchange Commission (the “SEC”) on the use of side …

Persistent link: https://www.econbiz.de/10014893198

Recent developments in hedge fund enforcement and regulation by the SEC under the leadership of Chairman Cox suggest that he may not be the free market advocate everyone once thoug...

Morgan, Nicolas; Totino, Edward; Weiner, Perrie - In: Journal of Investment Compliance 7 (2006) 4, pp. 4-11

Purpose – This paper aims to draw conclusions about the likelihood that Securities and Exchange Commission (“SEC …

Persistent link: https://www.econbiz.de/10014893201

Compensating mutual fund advisers: a return to the basics of properly structured performance fees

Thomas, F. Scott; Jaye, John C. - In: Journal of Investment Compliance 7 (2006) 4, pp. 28-37

Company Act”), the Investment Advisers Act of 1940 (the “Advisers Act”) and related US Securities and Exchange Commission (the …

Persistent link: https://www.econbiz.de/10014893205