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International distribution of mutual funds legal and compliance issues : historical considerations and practical pointers
Sobol, Robert N. - In: The journal of investment compliance 13 (2012) 2, pp. 60-65
Persistent link: https://www.econbiz.de/10009574351
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Regulatory watch list for 2012 : the shifting landscape for hedge funds and other private funds
Cain, James M.; Frydman, Daphne G.; Roby, David; … - In: The journal of investment compliance 13 (2012) 2, pp. 6-14
Persistent link: https://www.econbiz.de/10009574366
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Prepare for the magnifying glass : SEC hikes scrutiny of asset managers ; 4 steps to consider
Weiner, Perrie Michael; Hunnius, Patrick; Alexander, Grant - In: The journal of investment compliance 16 (2015) 1, pp. 49-51
Persistent link: https://www.econbiz.de/10011344585
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CFTC proposes harmonization rules for mutual funds
Molesworth, Rita; Tuchman, Deborah A.; O'Donnell, Dianne E. - In: The journal of investment compliance 13 (2012) 3, pp. 46-50
Persistent link: https://www.econbiz.de/10009664258
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Private equity funds may be exposed to ERISA pension liabilities and tax risks : priliminary reflections on the M&A and private equity consequences of the Sun Capital decision
Brause, Christian - In: The journal of investment compliance 14 (2013) 4, pp. 48-52
Persistent link: https://www.econbiz.de/10010229654
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CFTC harmonization rules : CPOs of RICs benefit from "substituted compliance"
Frydman, Daphne G.; Ramirez, Raymond A. - In: The journal of investment compliance 15 (2014) 1, pp. 17-24
Persistent link: https://www.econbiz.de/10010366733
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SEC issues proposed investment company reporting rules
Greene, Nathan J. - In: The journal of investment compliance 16 (2015) 4, pp. 14-22
Persistent link: https://www.econbiz.de/10011438470
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The SEC’s evolving scrutiny of private equity firms : KKR hit with an unprecedented enforcement action for broken deal expense misallocation
Rendon Callahan, Veronica; Fleishhacker, Ellen Kaye; … - In: The journal of investment compliance 16 (2015) 4, pp. 39-42
Persistent link: https://www.econbiz.de/10011438478
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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
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SEC proposes sweeping new liquidity risk management rules for mutual funds and ETFs
Rosella, Michael; Belitsky, Bill; Marghella, Alexandra - In: The journal of investment compliance 17 (2016) 1, pp. 74-82
Persistent link: https://www.econbiz.de/10011523741