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SEC enforcement actions under exchange act rule 21F-17
White, Thomas W. - In: The journal of investment compliance 18 (2017) 3, pp. 1-10
Persistent link: https://www.econbiz.de/10011804682
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SEC shortens standard settlement cycle to T+2
Burns, James; Anderson, James E.; Saunders, Kimberly Beattie - In: The journal of investment compliance 18 (2017) 3, pp. 11-15
Persistent link: https://www.econbiz.de/10011804688
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Cross border master-feeder arrangements : SEC staff slightly expands utility of offshore feeders for global investment management firms, but tax and other challenges remain
Amorosi, Mark; Zornada, George; Gibson, Todd; Almquist, Joel - In: The journal of investment compliance 18 (2017) 3, pp. 16-20
Persistent link: https://www.econbiz.de/10011804732
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SEC approves new continued listing standards for ETFs
Teufel, Adam; Geissler, Christopher J. - In: The journal of investment compliance 18 (2017) 3, pp. 21-25
Persistent link: https://www.econbiz.de/10011804736
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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
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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
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SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme
Bondi, Bradley J.; Petillo-Décossard, Kimberly C.; … - In: The journal of investment compliance 18 (2017) 3, pp. 41-43
Persistent link: https://www.econbiz.de/10011804784
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AML compliance in the age of individual accountability
Greene, Carlton; Hanusik, Thomas; Stinebower, Cari; … - In: The journal of investment compliance 18 (2017) 3, pp. 44-47
Persistent link: https://www.econbiz.de/10011804788
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Selling structured products to retail investors in the US
Sheehan, Margaret - In: The journal of investment compliance 18 (2017) 3, pp. 59-63
Persistent link: https://www.econbiz.de/10011804835
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Investment recommendations under the Market Abuse Regulation (MAR) : operative guidelines issued by the Italian Securities and Exchange Commission (CONSOB)
Parola, Lorenzo; Falco, Francesco - In: The journal of investment compliance 18 (2017) 3, pp. 85-90
Persistent link: https://www.econbiz.de/10011804889