Kelly, Joseph P.; Curzon, Elliott R. - In: Journal of Investment Compliance 13 (2012) 3, pp. 63-68
/methodology/approach – The following are explained: categories of communication, pre‐use approval and record‐keeping requirements, filing … mutual fund volatility ratings, requirements for the use of investment analysis tools, communication with the public … regarding securities futures, communication with the public about collateralized mortgage obligations, and the implementation …