CFTC adopts amendments to position limit aggregation rules

Gespeichert in:
Bibliographische Detailangaben
Veröffentlicht in:The journal of investment compliance
1. Verfasser: Bruynes, J. P. (VerfasserIn)
Weitere Verfasser: Daniel, Jason (VerfasserIn), Walker, Libbie (VerfasserIn)
Format: UnknownFormat
Sprache:eng
Veröffentlicht: 2017
Schlagworte:
Aufsatz in Zeitschrift
Tags: Tag hinzufügen
Keine Tags, Fügen Sie den ersten Tag hinzu!
Titel Jahr Verfasser
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
SEC adopts rules and forms to modernize reporting requirements for registered investment companies 2017 Cohen, Stephen
The municipal advisor regulatory framework : where we are and where to next 2017 Lanza, Ernesto
What can mutual fund boards and advisers learn from the AXA trial ruling? 2017 Colby, Eben
SEC requires hedge funds to prevent insider trading despite unsettled legal definition 2017 Morgan, Nicolas
SEC fines non-US entities for unregistered cross-border brokerage and advisory activities 2017 Burns, James
An update on the EU securities financing transactions regulation 2017 Yonge, William J. G.
Three financial regulators issue reports on product and service innovations 2017 Brody, Melanie
Stored value facilities : changing the fintech landscape in Hong Kong 2017 Swartz, Kristi L.
New York finalizes cybersecurity regulations for financial institutions 2017 Cedarbaum, Jonathan G.
CFTC's demanding new cooperation guidelines for companies and individuals 2017 Peace, Breon S.
Selling structured products to retail investors in the US 2017 Sheehan, Margaret
SEC approves FINRA's rules to protect seniors from financial exploitation 2017 Kutner, Matthew J.
Money laundering : further clarity provided by the Court of Appeal on the operation of the consent regime 2017 Allen, Daren
The Private Fund Limited Partnership : a new fund vehicle for the UK 2017 Gibson, Sally
FINRA releases new guidance regarding social media and digital communications 2017 Sacks, Russell
ESMA issues Brexit opinions to EU regulators : a warning shot not only to the UK but also to the EU27 2017 Yonge, William
FCA discussion paper on open-ended funds and illiquidity 2017 Katsambas, Panos
Pay ratio legislation in the United Kingdom : a prospect 2017 Imai, Akihito
Alle Artikel auflisten