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SEC issues guidance update regarding enhanced mutual fund disclosure
Pugliese, Domenick; Rosella, Michael; Hearth, David - In: The journal of investment compliance 15 (2014) 4, pp. 11-14
Persistent link: https://www.econbiz.de/10010461365
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The SEC’s evolving scrutiny of private equity firms : KKR hit with an unprecedented enforcement action for broken deal expense misallocation
Rendon Callahan, Veronica; Fleishhacker, Ellen Kaye; … - In: The journal of investment compliance 16 (2015) 4, pp. 39-42
Persistent link: https://www.econbiz.de/10011438478
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US Securities and Exchange Commission settles administrative action against fund manager concerning use of fund assets to pay management company expenses
Pershkow, Amy Ward; Kanter, Adam D. - In: The journal of investment compliance 16 (2015) 4, pp. 55-58
Persistent link: https://www.econbiz.de/10011438496
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Director of SEC's division of investment management discusses alternative mutual funds
Kerr, Richard F. - In: The journal of investment compliance 15 (2014) 4, pp. 15-18
Persistent link: https://www.econbiz.de/10010461358
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Loss potential and disclosures related to credit derivatives : a cross-country comparison of corporate bond funds under US and German regulation
Gałkiewicz, Dominika - 2014 - This version: August 2014
restricting the speculative use of derivatives by funds to a reasonable level, as well as implement more standardized disclosure …
Persistent link: https://www.econbiz.de/10010530827
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Loss potential and disclosures related to credit derivatives : a cross-country comparison of corporate bond funds under US and German regulation
Gałkiewicz, Dominika - 2015
restricting the speculative use of derivatives by funds to a reasonable level, as well as implement more standardized disclosure …
Persistent link: https://www.econbiz.de/10010503880
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Signposts or weathervanes? : the curious case of corporate social responsibility and conflict minerals
Arikan, Ozlem; Reinecke, Juliane; Spence, Crawford; … - In: Journal of business ethics : JOBE 146 (2017) 3, pp. 469-484
Persistent link: https://www.econbiz.de/10011789348
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Who is the "reasonable investor"?
Tuttle, Jonathan R.; Kaplan, Matthew E.; Pedersen, … - In: The journal of investment compliance 17 (2016) 4, pp. 61-64
Persistent link: https://www.econbiz.de/10011616445
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The SEC’s Evolving Scrutiny of Private Equity Firms: KKR Hit with an Unprecedented Enforcement Action for Broken Deal Expense Misallocation
Callahan, Veronica Rendon; Fleishhacker, Ellen Kaye; … - In: Journal of Investment Compliance 16 (2015) 4, pp. 39-42
methodology and related disclosure; draws lessons and makes recommendations for private equity firms concerning the need for … compliance and disclosure reviews and the benefits of remediation and cooperation. Findings – This enforcement action and other …
Persistent link: https://www.econbiz.de/10014893843
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Who is the “reasonable investor”?
Tuttle, Jonathan R.; Kaplan, Matthew E.; Pedersen, … - In: Journal of Investment Compliance 17 (2016) 4, pp. 61-64
Purpose To discuss how two recent court decisions applied the materiality standard concerning information disclosed to investors and the definition of a “reasonable investor”. Design/methodology/approach Explains the origins and evolution of the materiality standard and the “reasonable...
Persistent link: https://www.econbiz.de/10014893911