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SEC announces first investment adviser ‘pay-to-play’ enforcement action

Norman Goldberger, M.; C. Grugan, John; O’Neil, Christine - In: Journal of Investment Compliance 15 (2014) 3, pp. 35-37

Purpose – To explain the first enforcement action the USA Securities and Exchange Commission (SEC) has brought under …

Persistent link: https://www.econbiz.de/10014893840

The Securities and Exchange Commission (“SEC”) prevails in the second circuit in defending its no-admission settlement policy

Healy, Terence; J. Greer, Amy; Z. Herbst, Daniel - In: Journal of Investment Compliance 15 (2014) 4, pp. 41-43

Purpose – To explain the impact of a recent decision by the USA Court of Appeals for the Second Circuit on the SEC …

Persistent link: https://www.econbiz.de/10014893895

SEC issues guidance update regarding enhanced mutual fund disclosure

Pugliese, Domenick; Rosella, Michael; Hearth, David - In: Journal of Investment Compliance 15 (2014) 4, pp. 11-14

Purpose – To explain a guidance update recently issued by the USA Securities and Exchange Commission (SEC) Division of …

Persistent link: https://www.econbiz.de/10014893896

Supreme Court reaffirms “fraud-on-the-market” presumption in securities fraud class actions

Rendon, Veronica; Freedman, John; Reinhardt, Adam - In: Journal of Investment Compliance 15 (2014) 4, pp. 37-40

Purpose – To explain the Supreme Court’s recent decision in Halliburton Co. v. Erica P. John Fund, Inc. and its implications for private class action litigation under the federal securities laws. Design/methodology/approach – Explains the background on the Halliburton decision, including...

Persistent link: https://www.econbiz.de/10014893897

FATCA: implications for non-US funds: a general guide for determining the applicability of FATCA to non-USA funds

M. Garry, Kristen; Gelencsér, Etienne; M. O’Pray, Eileen - In: Journal of Investment Compliance 15 (2014) 4, pp. 44-52

Purpose – To summarize the principal aspects of USA tax legislation commonly known as the “Foreign Account Tax … Compliance Act” (“FATCA”) that may be relevant to non-USA investment funds. Design/methodology/approach – Reviews the potential … application of FATCA to non-USA investment funds in a question-and-answer format and summarizes the key FATCA compliance …

Persistent link: https://www.econbiz.de/10014893898

Director of SEC’s Division of Investment Management discusses alternative mutual funds

F. Kerr, Richard - In: Journal of Investment Compliance 15 (2014) 4, pp. 15-18

Purpose – To alert participants in the mutual fund industry to regulatory developments in the alternative mutual fund space as articulated by the SEC’s Director of the Division of Investment Management. Design/methodology/approach – Reviews the Director’s discussion of the SEC’s...

Persistent link: https://www.econbiz.de/10014893900

FINRA fines broker-dealer for failing to apply Class A sales charge waivers for certain eligible customers on its mutual fund platform

F. Kerr, Richard - In: Journal of Investment Compliance 15 (2014) 4, pp. 53-56

Purpose – To review FINRA enforcement action taken against a broker-dealer over failure to waive mutual fund sales charges for certain eligible customers and failure to establish, maintain, and enforce a supervisory system and written procedures reasonably designed to ensure eligible accounts...

Persistent link: https://www.econbiz.de/10014893901

Testing cross‐cultural invariance of the brand equity creation process

Yoo, Boonghee; Donthu, Naveen - In: Journal of Product & Brand Management 11 (2002) 6, pp. 380-398

The purpose of this study is to explore the cross‐cultural generalizability of Yoo et al. ’s brand equity creation process model. A two‐step approach is introduced and used to test the factorial invariance of the model cross‐culturally. The results reveal which marketing efforts and...

Persistent link: https://www.econbiz.de/10014895745

Marketing Strategies for Mature Brands

Evans, Joel R.; Lombardo, Gregg - In: Journal of Product & Brand Management 2 (1993) 1, pp. 5-19

Many companies are placing greater emphasis today on the marketing of their mature brands. Notes several reasons for that trend persisting well into the future. Little has been written about how companies can more methodically plan and enact marketing strategies for these brands. Addresses the...

Persistent link: https://www.econbiz.de/10014896391

Commentary: Unlocking the Brand Asset Vault

Selame, Elinor - In: Journal of Product & Brand Management 2 (1993) 1, pp. 20-28

Discusses, with many illustrative examples, the concept of brand worth, the definition of a brand and strategic branding options. Presents three case studies.

Persistent link: https://www.econbiz.de/10014896392