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The pond for markets: social and local
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
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New company law reform bill
Gray, Joanna - In: Journal of Financial Regulation and Compliance 14 (2006) 1, pp. 119-122
Purpose – To address the practical implications of the new company law reform bill. Design/methodology/approach – Explain the objectives of the Bill. Findings – The current government position is a continuing preference for disclosure on a voluntary basis by firms but Clause 866 of the...
Persistent link: https://www.econbiz.de/10014870018
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Ethical and socially responsible investment funds
Watson, Robert - In: Journal of Financial Regulation and Compliance 19 (2011) 2, pp. 100-110
) funds to retail investors and to analysis the plausibility of the claims made in regard to their performance, achievements … techniques to induce retail investors into investing in ESRI funds and that many of the claims made on behalf of ESRI investing … concern to regulators and retail investors. Originality/value – This is the first article that has linked the promotion and …
Persistent link: https://www.econbiz.de/10014870183
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The impact of gender on the personal financial planning process
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
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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
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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
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Compliance in a multi‐regulatory environment
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
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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
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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
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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