| 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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