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High-frequency traders : a review of the challenges in registering them as dealers

Fitterman, Mark; Sandoval, Ignacio - In: The journal of investment compliance 15 (2014) 3, pp. 3-9

Persistent link: https://www.econbiz.de/10010428126

National Football League faces hedge fund manager fraud: implications for professional associations and investors from the case of international management associates

Muhtaseb, Majed Rajab - In: The journal of investment compliance 16 (2015) 3, pp. 49-54

Persistent link: https://www.econbiz.de/10011446098

SEC's enforcement action against hedge fund adviser for retaliation against a whistleblower highlights challenges employers face

House, Bryan B.; Johnston, Pam L.; Worcester, Courtney - In: The journal of investment compliance 15 (2014) 4, pp. 7-10

Persistent link: https://www.econbiz.de/10010461406

Cybersecurity : SEC is starting to scrutinize registrants' practices

Nathan, Daniel A.; Greismann, Libby J. - In: The journal of investment compliance 15 (2014) 4, pp. 4-6

Persistent link: https://www.econbiz.de/10010461411

The Securities and Exchange Commission ("SEC") prevails in the second circut in defending its no-admission settlement policy

Healy, Terence; Greer, Amy J.; Herbst, Daniel Z. - In: The journal of investment compliance 15 (2014) 4, pp. 41-43

Persistent link: https://www.econbiz.de/10010462136

FCPA broker-dealer case highlights compliance risks for financial institutions

Urofsky, Philip; Newcomb, Danforth - In: The journal of investment compliance 14 (2013) 3, pp. 34-37

Persistent link: https://www.econbiz.de/10010222925

US securities and exchange commission's division of investment management issues guidance regarding robo-advisers

Monaco, Stephanie M.; Pershkow, Amy Ward; Cruz, Leslie S.; … - In: The journal of investment compliance 18 (2017) 3, pp. 26-33

Persistent link: https://www.econbiz.de/10011804762

US SEC approves sweeping amendments to rules governing money market funds

Murphy, Jack; Cohen, Stephen; Carroll, Brenden; Smith, … - In: Journal of Investment Compliance 16 (2015) 1, pp. 25-39

Purpose – To explain the background and details and to discuss the implications of the USA Securities and Exchange …, the USA Treasury’s temporary guarantee program in 2008, earlier SEC proposals, and the USA Financial Stability Oversight … operating under Rule 12d1-1, guidance on fund valuation methods, disclosure requirements, requirements for money fund portfolios …

Persistent link: https://www.econbiz.de/10014893601

Broker-dealers need to respond to recent focus on cybersecurity threats

Petron, David; Wolk, Michael; McNicholas, Edward - In: Journal of Investment Compliance 15 (2014) 2, pp. 29-32

Purpose – To alert broker-dealers to several regulatory developments relating to cybersecurity threats. Design/methodology/approach – Reviews four regulatory developments in the cybersecurity area and provides several steps broker-dealers should undertake to review and improve their...

Persistent link: https://www.econbiz.de/10014893746

SEC administrative law judge bars investment manager for misrepresenting GIPS compliance

S. Caccese, Michael; Y. Charton, Douglas; A. Grossetti, … - In: Journal of Investment Compliance 15 (2014) 3, pp. 38-40

Purpose – To explain an administrative law judge (ALJ) decision, along with a censure, fine, and industry disbarment, against an investment adviser for misleading advertising and false claims of compliance with Global Investment Performance Standards (GIPS). Design/methodology/approach –...

Persistent link: https://www.econbiz.de/10014893806