Journal of Investment Compliance: Volume 3 Issue 2
Table of contents
The Sarbanes‐Oxley Act of 2002 effects sweeping changes to the US federal securities laws
Michael H. Hein, Clifford E. Neimeth, Ira N. Rosner, Fern S. WattsSigned into law by President Bush on July 30, 2002, the Sarbanes‐Oxley Act of 2002 (the Act) presents what may be among the most sweeping set of changes to U.S. federal securities…
New rules regarding research analyst’s perceived conflicts of interest: an ever‐evolving landscape
Dennis C. Hensley, Jeffrey W. StrouseOn May 10, 2002, the Securities and Exchange Commission (the “SEC”) approved certain rule changes filed by the National Association of Securities Dealers, Inc. (the “NASD”) and…
Analyst liability for fraud and negligence in the modern era
Simon S. KoganSome recent investigations have alleged that analysts of certain securities, many of them internet stocks, were motivated to write positive reports at least in part to help their…
Anti‐money laundering (AML) requirements for investment companies emerge as compliance deadlines approach
Alan AbelMoney laundering is not a new issue for investment companies. Funds have been subject to currency transaction reporting for years, and many fund complexes were already taking…
Anti‐money laundering compliance for the mutual fund industry
Robert A. Robertson, Monique S. DelhommeThe USA Patriot Act and its implementing regulations required mutual funds to implement anti‐money laundering (AML) programs by July 24, 2002. This legislation, which…
Hedge fund trading issues
Gerald T. LinsIn many respects, an investment adviser’s responsibilities regarding hedge funds (including offshore funds) are similar to the responsibilities the adviser owes to all advised…
The regulation of wrap fee programs – Part II
Terrance J. O’Malley, Kenneth E. NeikirkPart I of this series appeared in the Summer 2002 issue of The Journal of Investment Compliance. It addressed the regulation of wrap fee programs under the Investment Company Act…
ISSN:
1528-5812Online date, start – end:
2000 – 2021Copyright Holder:
Emerald Publishing LimitedEditor:
- Henry A. Davis