Unlike chess, everyone must continue playing after a cyber-attack

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Bibliographische Detailangaben
Veröffentlicht in:The journal of investment compliance
1. Verfasser: Clark, Michael E. (VerfasserIn)
Weitere Verfasser: Harrell, Charles E. (VerfasserIn)
Format: UnknownFormat
Sprache:eng
Veröffentlicht: 2013
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Titel Jahr Verfasser
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
The SEC provides new custody rule guidance to investment advisers 2017 Wirig, Matthew T.
SEC approves new continued listing standards for ETFs 2017 Teufel, Adam
Kokesh v. SEC : the end of a disgorgement era? 2017 Litt, Marc
Reforming EU securities laws : the new EU Prospectus Regulation 2017 Fischer-Appelt, Dorothee
Hague Securities Convention goes into effect in the United States 2017 Barreras, Bryan L.
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.
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