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Pay-to-play : SEC staff provides new guidance on Advisers Act Rule 206(4)-5
Pittman, Edward L.; Harvey, Christopher P.; Sherman, … - In: The journal of investment compliance 12 (2011) 4, pp. 26-30
Persistent link: https://www.econbiz.de/10009411229
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Recent SEC sweep highlights the need for US investment advisers seeking business from sovereign wealth funds to develop policies for FCPA compliance
Pittman, Edward L.; Krause, Cheryl A.; Bogle, Thomas C.; … - In: The journal of investment compliance 12 (2011) 2, pp. 11-15
Persistent link: https://www.econbiz.de/10009236838
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Recent SEC sweep highlights the need for US investment advisers seeking business from sovereign wealth funds to develop policies for FCPA compliance
Pittman, Edward L.; Krause, Cheryl A.; Bogle, Thomas C.; … - In: The journal of investment compliance 12 (2011) 2, pp. 11-16
Persistent link: https://www.econbiz.de/10009164555
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Pay-to-play: SEC staff provides new guidance on Advisers Act Rule 206(4)-5
Pittman, Edward L.; Harvey, Christopher P.; Sherman, … - In: The journal of investment compliance 12 (2011) 4, pp. 26-31
Persistent link: https://www.econbiz.de/10009806052
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Recent SEC sweep highlights the need for US investment advisers seeking business from sovereign wealth funds to develop policies for FCPA compliance
Pittman, Edward L.; Krause, Cheryl A.; Bogle, Thomas C.; … - In: Journal of Investment Compliance 12 (2011) 2, pp. 11-15
Purpose – The aim of this paper is to explain the provisions of the US Foreign Corrupt Practices Act that may be applicable to investment advisers seeking investments from foreign governments. Design/methodology/approach – The paper explains the background of the FCPA and its applicability...
Persistent link: https://www.econbiz.de/10014893377
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Pay‐to‐play: SEC staff provides new guidance on Advisers Act Rule 206(4)‐5
Pittman, Edward L.; Harvey, Christopher P.; Sherman, … - In: Journal of Investment Compliance 12 (2011) 4, pp. 26-30
Purpose – The purpose of this paper is to explain the SEC staff's web site responses to a series of frequently asked questions concerning SEC Advisers Act Rule 206(4)‐5. Design/methodology/approach – The paper explains the SEC staff responses to FAQs on the ability to rely on prior...
Persistent link: https://www.econbiz.de/10014893400