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SEC adopts new disclosure and recordkeeping requirements for investment advisers
Greene, Nathan - In: The journal of investment compliance 18 (2017) 1, pp. 19-24
Persistent link: https://www.econbiz.de/10011662051
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The municipal advisor regulatory framework : where we are and where to next
Lanza, Ernesto - In: The journal of investment compliance 18 (2017) 1, pp. 53-57
Persistent link: https://www.econbiz.de/10011662083
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SEC requires hedge funds to prevent insider trading despite unsettled legal definition
Morgan, Nicolas; Zwickel, Art; Zaccaro, Thomas A.; … - In: The journal of investment compliance 18 (2017) 1, pp. 63-64
Persistent link: https://www.econbiz.de/10011662110
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Verhaltensregeln im Finanzmarktrecht : unter besonderer Berücksichtigung des Börsen- und des Kollektivanlagenrechts sowie des geplanten FIDLEG
Baumann, Daniel - 2018 - 1. Auflage
Persistent link: https://www.econbiz.de/10011852946
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What a year: MiFID II/MiFIR, EMIR RTS, SFTR and SEC SBSR
Altman, Lloyd - In: Journal of securities operations & custody 9 (2017) 4, pp. 298-301
Persistent link: https://www.econbiz.de/10011796647
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Is the SEC captured? : evidence from comment-letter reviews
Heese, Jonas; Khan, Mozaffar; Ramanna, Karthik - In: Journal of accounting & economics 64 (2017) 1, pp. 98-122
Persistent link: https://www.econbiz.de/10011775881
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SEC matters
Walker, Donald A. <Jr.> - In: The journal of corporate accounting & finance 28 (2017) 2, pp. 112-114
Persistent link: https://www.econbiz.de/10011638875
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SEC matters
Walker, Donald A. <Jr.> - In: The journal of corporate accounting & finance 28 (2016) 1, pp. 100-102
Persistent link: https://www.econbiz.de/10011621499
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The SEC provides new custody rule guidance to investment advisers
Wirig, Matthew T.; Poorbaugh, Kate S. - In: The journal of investment compliance 18 (2017) 2, pp. 9-12
Persistent link: https://www.econbiz.de/10011704623
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Pay to play violations : an SEC focus
Van Grover, Robert - In: The journal of investment compliance 18 (2017) 2, pp. 13-15
Persistent link: https://www.econbiz.de/10011704651