| Practical tips for satisfying FINRA's "culture" concerns
|
2017 |
Nathan, Daniel A. |
| Are your customer accounts in order? : SEC announces sweep of broker-dealers and implementation of the customer protection rule initiative
|
2017 |
Beck Mitchum, Melissa |
| Hong Kong SFC enforcement trends
|
2017 |
Brock, Denis |
| OCIE to investment advisers : focus on these five problem areas
|
2017 |
Peltz, Brynn D. |
| Shadow banking regime : assessment of investment funds
|
2017 |
Prorokowski, Lukas |
| SEC enforcement actions under exchange act rule 21F-17
|
2017 |
White, Thomas W. |
| Cross border master-feeder arrangements : SEC staff slightly expands utility of offshore feeders for global investment management firms, but tax and other challenges remain
|
2017 |
Amorosi, Mark |
| US securities and exchange commission's division of investment management issues guidance regarding robo-advisers
|
2017 |
Monaco, Stephanie M. |
| SEC publishes important guidance on the Custody Rule, participating affiliate arrangements, robo-advisers, Form PF and certain compliance topics
|
2017 |
Larson, Joyce E. |
| SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme
|
2017 |
Bondi, Bradley J. |
| AML compliance in the age of individual accountability
|
2017 |
Greene, Carlton |
| FINRA releases guidance on social media and digital communications
|
2017 |
Wiring, Matthew T. |
| Nuts and bolts: securities arbitration
|
2017 |
Grannum, Sandra D. |
| SEC permits all issuers to submit confidential draft registration statements
|
2017 |
Brady, Andrew |
| A review of the SEC Participating Affiliate No-Action Letters' relief from Investment Advisers Act of 1940 registration for foreign investment advisers
|
2017 |
Cohen, Wendy E. |
| SEC's unwavering focus on disclosure of valuation methods and calculation of IRRs by fund sponsors
|
2017 |
Earley, Michael P. |
| An overview of the FINRA Rule 4210 margin amendments
|
2017 |
Mathews, Nikiforos |
| Direct lending by funds : a comparison of the key EU jurisdictions
|
2017 |
Smith, Thomas |
| Securities regulators' overlapping priorities provide guidance for examination preparation
|
2017 |
Nathan, Daniel A. |
| SEC adopts new disclosure and recordkeeping requirements for investment advisers
|
2017 |
Greene, Nathan |
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