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All advisers to registered investment companies need to evaluate their exposure to CFTC regulation after recent rule amendment
Shea, Peter J.; Moriarty, Kathleen H.; Rosenzweig, … - In: The journal of investment compliance 13 (2012) 2, pp. 20-25
Persistent link: https://www.econbiz.de/10009984120
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Exchange-Traded Funds: Legal and Structural Issues Worldwide
Moriarty, Kathleen H. - In: International business lawyer : journal of the Section … 29 (2001) 8, pp. 346-354
Persistent link: https://www.econbiz.de/10006618951
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CFTC adopts significant changes to CPO and CTA registration and compliance requirements
Rosenzweig, Kenneth M.; Cohen, Wendy E.; Okoshi, Marilyn S. - In: The journal of investment compliance 13 (2012) 2, pp. 15-20
Persistent link: https://www.econbiz.de/10009984119
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Summary and analysis of Dodd-Frank rules for investment advisers: registration requirements, exemptions, family offices, performance fee eligibility
Sorady, Marybeth; Domina, Daren; Cohen, Wendy; Santo, Fred - In: The journal of investment compliance 12 (2011) 4, pp. 4-18
Persistent link: https://www.econbiz.de/10009806049
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CFTC approves final rule requiring recording of oral communications
Rosenzweig, Kenneth M.; Foley, Kevin M.; Brockway, Blake J. - In: The journal of investment compliance 14 (2013) 1, pp. 47-49
Persistent link: https://www.econbiz.de/10010121774