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Not just a compliance program, but an effective compliance program : SEC, DOJ issue strong reminders
Ingerman, Brett; Hynes, Michael D.; Benjet, Brian H.; … - In: The journal of investment compliance 16 (2015) 4, pp. 4-5
Persistent link: https://www.econbiz.de/10011438425
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No more bullsh*t : securities opinions after Omnicare
Frumento, Aegis; Korenman, Stephanie - In: The journal of investment compliance 16 (2015) 4, pp. 6-13
Persistent link: https://www.econbiz.de/10011438468
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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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SEC issues proposed investment adviser reporting and disclosure rules
Greene, Nathan J. - In: The journal of investment compliance 16 (2015) 4, pp. 23-29
Persistent link: https://www.econbiz.de/10011438471
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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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SEC proposes new compensation clawback rules
Brady, Andrew; Zaiss, Rolf; Persaud, Nyron - In: The journal of investment compliance 16 (2015) 4, pp. 43-46
Persistent link: https://www.econbiz.de/10011438479
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SEC staff issues money market fund reform frequently asked questions
Murphy, Jack; Carroll, Brenden; Cohen, Stephen; Katz, Joshua - In: The journal of investment compliance 16 (2015) 4, pp. 47-54
Persistent link: https://www.econbiz.de/10011438482
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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 approves long-anticipated FINRA research rules
Kroll, Amy Natterson; Ayanian, John Z. - In: The journal of investment compliance 17 (2016) 1, pp. 39-44
Persistent link: https://www.econbiz.de/10011523734
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SEC proposes sweeping changes to the use of derivatives and financial commitment transactions by registered funds and BDCs
Brizek, Ryan P.; Bullitt, P. Georgia; DiMartino, Rose F.; … - In: The journal of investment compliance 17 (2016) 1, pp. 51-73
Persistent link: https://www.econbiz.de/10011523738