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~isPartOf:"The journal of investment compliance"
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Nathan, Daniel A.
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The journal of investment compliance
IMF Staff Country Reports
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Journal of financial stability
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ECB Working Paper
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Bank-Archiv : Zeitschrift für das gesamte Bank- und Börsenwesen : journal of banking and financial research
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Revue d'économie financière : revue trimestrielle de l'Association Europe finances régulations
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Journal of international money and finance
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Economic review
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Zeitschrift für das gesamte Kreditwesen : Pflichtblatt der Frankfurter Wertpapierbörse
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Finance research letters
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ECONIS (ZBW)
138
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1
Heightened supervision of branch offices
Nathan, Daniel A.
;
Navarro, Lauren
;
Matta, Kevin
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 18-21
Persistent link: https://www.econbiz.de/10011405512
Saved in:
2
Organisation of compliance across financial institutions
Prorokowski, Lukasz
;
Prorokowski, Hubert
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 65-76
Persistent link: https://www.econbiz.de/10010366722
Saved in:
3
CFTC modernizes Rule 1.31 recordkeeping requirements
Mitchell, David S.
;
McLaughlin, Robert M.
;
Breslin, …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 45-49
Persistent link: https://www.econbiz.de/10011808535
Saved in:
4
SEC adopts amendments to regulation SHO
Forbes, Jessica
;
Gnall, Gregory P.
;
Lombardo, Christine M.
- In:
The journal of investment compliance
11
(
2010
)
3
,
pp. 14-19
Persistent link: https://www.econbiz.de/10008662584
Saved in:
5
SEC proposes large trader reporting system
Sacks, Russell D.
;
Blankenship, Michael J.
- In:
The journal of investment compliance
11
(
2010
)
3
,
pp. 8-13
Persistent link: https://www.econbiz.de/10008662587
Saved in:
6
SEC provides details on amendments to money market fund rules
Hunt, John
- In:
The journal of investment compliance
11
(
2010
)
2
,
pp. 31-35
Persistent link: https://www.econbiz.de/10003993698
Saved in:
7
SEC amends the Advisers Act custody rule
Forbes, Jessica
;
Molle, Mark
- In:
The journal of investment compliance
11
(
2010
)
2
,
pp. 36-38
Persistent link: https://www.econbiz.de/10003993749
Saved in:
8
US securities and exchange commission amends dollar threshold tests under qualified client standard, requires exclusion of net equity in primary residence
Cohen, Rory M.
- In:
The journal of investment compliance
13
(
2012
)
2
,
pp. 48-51
Persistent link: https://www.econbiz.de/10009574354
Saved in:
9
SEC touts whistleblower award to a compliance professional : use care in responding to reports of potential violations
Srere, Mark
;
Buchanan, Mary Beth
;
Koch, Elaine
;
Mammen, …
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 77-78
Persistent link: https://www.econbiz.de/10011344527
Saved in:
10
Expense allocation : the SEC brings down the hammer
Berman, Kenneth
;
Larkin, Gregory
;
Giglio, Phil V.
; …
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 66-68
Persistent link: https://www.econbiz.de/10011344548
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