| Pay to play violations : an SEC focus
|
2017 |
Van Grover, Robert |
| What is a Regulation SHO bona-fide market maker?
|
2017 |
Bergmann, Larry E. |
| CFTC adopts amendments to position limit aggregation rules
|
2017 |
Bruynes, J. P. |
| Debunking the $ 17 billion myth : the mathemagics behind the fiduciary rule
|
2017 |
Schaff, Jeffery E. |
| Business email compromise and executive impersonation : are financial institutions exposed?
|
2017 |
Zweighaft, David |
| SEC issues final rule on investment company liquidity risk management
|
2017 |
Schwartz, Rachael Leah |
| SEC charges private fund administrator with gatekeeping failures
|
2017 |
Miller, Keith |
| SEC shortens standard settlement cycle to T+2
|
2017 |
Burns, James |
| MIFID2 : the impact on non-EU fIRMS
|
2017 |
Crown, Simon |
| The FCA’s new enforcement process : what will work, and what won’t
|
2017 |
James, Polly |
| SFC reminding sponsors of the need to adopt an attitude of "professional scepticism"
|
2017 |
Hughes, Gareth |
| Investment recommendations under the Market Abuse Regulation (MAR) : operative guidelines issued by the Italian Securities and Exchange Commission (CONSOB)
|
2017 |
Parola, Lorenzo |
| The ABCs of fund finance : credit facilities for secondaries funds and funds of funds
|
2017 |
Kerfoot, Matthew K. |
| FINRA issues interpretive guidance on related performance in institutional communications
|
2017 |
Caccese, Michael S. |
| CFTC modernizes Rule 1.31 recordkeeping requirements
|
2017 |
Mitchell, David S. |
| 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 |
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