Journal of Investment Compliance: Volume 7 Issue 1

Mutual funds under fire: a chrononogy of developments since January 1, 2003

Thomas R. Smith

The purpose of this paper is to provide a comprehensive background on the recent legislative, regulatory, and prosecutorial scrutiny of mutual funds and underlying issues such as…

The new supervisory rules regime: a practical look at areas of exposure for broker‐dealers and senior personnel

Bruce Hiler, Thomas Kuczajda, Aseel Rabie

The purpose of this paper is to describe the exposure and the responsibilities of a broker‐dealer's senior management under NASD's and the NYSE's new rules, emphasizing a regular…

Adviser recordkeeping requirements

W. John McGuire

The purpose of this paper is to summarize record‐keeping requirements for Securities and Exchange Commission (SEC)‐registered advisers of private investment companies, especially…

Overview of hedge fund tax structures

Richard S. Zarin, William P. Zimmerman

The purpose of this paper is to provide a brief overview of some common hedge fund structures and some of the tax considerations that are significant in choosing among these…

Enhanced Cash “Yield Plus” Funds: the Treasurer's new cash management complement to money market funds

Robert N. Sobol

The purpose of this paper is to describe the emergence and current role of Enhanced Cash “Yield Plus” investment pools.

Notes on new Joint Money Laundering Steering Group (JMLSG) guidance

Terry Douglas

The purpose of this paper is to summarize new guidance from the UK Joint Money Laundering Steering Group on best practices for anti‐money‐laundering and combating the financing of…

A summary of the Financial Services Authority's enforcement procedures in the United Kingdom

Robert Falkner, Jon Gerty

The purpose of this paper is to summarize the Financial Services Authority's (FSA's) enforcement procedures pursuant to powers granted by the Financial Services and Markets Act…

E‐thics: the new moral methodology for business

Paul Johns

The purpose of this paper is to describe a new methodology called E‐thics, how it can be applied to an investment company, and how it can be used as a catalyst to develop an…

Editor column

Henry A. Davis