Summary of selected sessions from "The SEC Speaks in 2013"

Gespeichert in:
Bibliographische Detailangaben
Veröffentlicht in:The journal of investment compliance
Weitere Verfasser: Rubin, Brian L. (BerichterstatterIn), Brun, Carmen L. (BerichterstatterIn), Faulkner, Jaliya Stewart (BerichterstatterIn), Freedman, Michael K. (BerichterstatterIn), Lentz, Kurt (BerichterstatterIn)
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Sprache:eng
Veröffentlicht: 2013
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Titel Jahr Verfasser
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
Marketing non-US private equity funds in the United States : a roadmap through the various regulations and tax implications 2017 Greene, David
2016 FINRA analysis : a record-breaking year for fines 2017 Rubin, Brian
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