Journal of Investment Compliance: Volume 2 Issue 4

Current Trends in Broker/Dealer Litigation

BRIAN F. AMERY, DOMINICK F. EVANGELISTA, DAVID J. LIBOWSKY

This article is an up‐to‐date review of the trends that are developing in both the capital markets and private client litigation. This includes, of course, the trends in…

Experts in Arbitration

JOSEPH A. INGRISANO

The use of expert testimony in arbitration is explored. Why has it become so important in arbitration? The author has examined when and how to use an expert's testimony. He also…

The Basics of Software Licensing

MICHAEL P. BENNETT, JEFFREY KOSC

This is a primer on software licensing, which is a pressing issue for industry practitioners who are confronted with many agreements involving trading systems. This article deals…

Securities Arbitration: Is It Truly Efficient, or Can It Be Improved?

J. RICHARD TUCKER

This is an in‐depth and critical look at securities arbitration. How efficient is it? Is it a better option than the courtroom? Were industry expectations of the benefits of…

Mutual Fund Complexes: Entering the Private Investment Fund Arena

THOMAS A. AYERS, ERIC BYRNES

This article examines the recent phenomenon of investment advisors' and mutual fund complexes' creation of alternative investment products such as private investment funds. It…

Soft Dollar Basics: Responses to Frequently Asked Questions: (or, Questions That Should Frequently Be Asked)

MICHAEL R. BUTOWSKY

This is targeted at the “soft dollar” industry. It explores to difficult “dos” and “don'ts” of compliance policies and procedures. It is a practical “Q&A” discussion of the many…

Economically Targeted Investments: Genesis, Market Efficiency, and Implementation

MARK J.P. ANSON

A briefing on the phenomenon of economically targeted investments. Where they are used and why they exist. If you are at all involved with public pension funds, this is must…