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Mainelli, Michael - In: The Journal of Risk Finance 9 (2008) 3, pp. 303-305

Purpose – This paper aims to offer a commentary on new stock exchanges in the financial markets. Design/methodology/approach – The approach is a critical commentary on new exchanges in the market and how they continue to evolve. Findings – Existing exchanges need to continue to evolve...

Persistent link: https://www.econbiz.de/10014901471

The impact of gender on the personal financial planning process : Should financial advisors tailor their process to the gender of the client?

Stendardi, Edward J.; Graham, Judy F.; O’Reilly, Mary - In: Humanomics 22 (2006) 4, pp. 223-238

the gender of their clients in order to ideal with them more effectively. Originality/value – As female investors grow in …

Persistent link: https://www.econbiz.de/10014745312

Hedge funds: The regulatory landscape at a crossroads

Wider, Jedd; Scanlan, Kevin - In: Journal of Investment Compliance 4 (2003) 1, pp. 7-12

Hedge funds increasingly are becoming a focus of investors and U.S. regulatory agencies including the U.S. Securities … dismal performance of U.S. stock market indices over the past several years, investors are turning to “absolute” return … laggard results. Investors’ ability to invest in hedge funds has been further enhanced by the increase of hedge funds …

Persistent link: https://www.econbiz.de/10014893054

Preliminary steps to establishing research analyst independence

Winer, Samuel J.; Kroll, Amy N. - In: Journal of Investment Compliance 4 (2003) 1, pp. 13-17

On December 20, 2002, the Securities and Exchange Commission (“SEC”), the National Association of Securities Dealers (“NASD”), the New York Stock Exchange (“NYSE”), the New York Attorney General, and the North American Securities Administrators Association (“NASAA”) announced...

Persistent link: https://www.econbiz.de/10014893055

Compliance in a multi‐regulatory environment : An Interview with Lawrence A. Friend, Partner, PricewaterhouseCoopers LLP

In: Journal of Investment Compliance 4 (2003) 1, pp. 18-21

The USA Patriot Act, Sarbanes‐Oxley, proxy voting disclosure, privacy regulations under Gramm‐Leach‐Bliley, fair valuation, hedge fund scrutiny, and the list goes on and on. Over the past two years, we have seen the Securities and Exchange Commission launch the most aggressive and...

Persistent link: https://www.econbiz.de/10014893056

Complying with the SEC’s new proxy voting rules

Clarke, Kathleen K.; Miller, Paul M. - In: Journal of Investment Compliance 4 (2003) 1, pp. 22-25

In late January 2003, the Securities and Exchange Commission (SEC) adopted new rules for investment advisers under the Investment Advisers Act of 1940 (Advisers Act) requiring them to adopt and disclose to clients proxy voting policies and procedures. Concurrently, the SEC adopted new rules for...

Persistent link: https://www.econbiz.de/10014893057

Private equity securities: A compliance update for broker‐dealers and investment advisers

Walsh, John H. - In: Journal of Investment Compliance 4 (2003) 1, pp. 26-32

attention and excitement resulted from the extraordinary market gains experienced by some investors in private equity securities … invested are down, and as one commentator put it, there has been an “exodus of momentum investors.” Nonetheless, private …

Persistent link: https://www.econbiz.de/10014893058

The fair valuation mess

Freeman, David F. - In: Journal of Investment Compliance 4 (2003) 1, pp. 33-37

issue to investors, there is little uniformity of practice among funds, no generally accepted means to conduct fair …

Persistent link: https://www.econbiz.de/10014893059

The new face of money laundering

Baldwin, Greg - In: Journal of Investment Compliance 4 (2003) 1, pp. 38-41

According to legend, the fall of Troy was accomplished by a clever ruse. After 10 years of unsuccessfully dashing themselves against the impregnable walls of Troy, the Greeks pretended to give up and sail away from the besieged City, leaving behind a giant, hollow wooden horse. The Trojans,...

Persistent link: https://www.econbiz.de/10014893060

Knowing your customer and culture: An integrated approach to USA Patriot Act Compliance

Manning, Vincent; Spitzner, Marc; Savery, Donald J. - In: Journal of Investment Compliance 4 (2003) 1, pp. 42-44

‐Oxley legislation and other reforms being proposed by the SEC, NASDAQ, state attorneys general, institutional investors, and others …

Persistent link: https://www.econbiz.de/10014893061