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Home > Journal of Investment Compliance > Table of contents:Volume 14 issue 1 - Latest Issue
Journal of Investment Compliance
ISSN: 1528-5812
Online from: 2000
Subject Area: Accounting and Finance
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Table of contents:
Volume 14 issue 1 - Latest Issue
Published: 2013, Start page: p5Icon key: 
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You have access to this item Backfiles Earlycite Abstract only | Article Id: | Article Information: |
|---|---|
| 17087231 | DOJ and the SEC issue much-anticipated FCPA guidance Roger Witten, Kimberly Parker, Jay Holtmeier (pp. 5 - 15) Keywords: Administration of justice, Corruption, Justice, United States of America, US Department of Justice, US Foreign Corrupt Practices Act, US Securities and Exchange Commission Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (88kb) ] | Reprints & permissions |
| 17087232 | FINRA Rule 5123 requires filings for certain private placements sold by broker-dealers Martin R. Miller (pp. 16 - 18) Keywords: Finance, Financial Industry Regulatory Authority, Private placements, Registration, Securities, United States of America Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (45kb) ] | Reprints & permissions |
| 17087233 | The European Commission adopts AIFMD implementing regulation Peter McGowan (pp. 19 - 28) Keywords: Alternative investment fund managers, Assets under management, Europe, European Commission, European directives, Fund management Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (79kb) ] | Reprints & permissions |
| 17087234 | SEC institutes administrative proceedings against eight registered fund directors for failure to properly oversee asset valuations Bibb Strench, Jeffrey Schellenger (pp. 29 - 31) Keywords: Accounting valuations, Boards of directors, Fair valuation, Mutual fund, Unit trusts, United States of America, US Securities and Exchange Commission Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (45kb) ] | Reprints & permissions |
| 17087235 | Professionalism and investment advisers Aegis J. Frumento, Stephanie Korenman (pp. 32 - 41) Keywords: Financial advisers, Financial information, Financial planners, Investment advisers, Investment consultants, Investments, Professions, US Securities and Exchange Commission Article type: Conceptual paper Please login | Abstract & purchase [ HTML & PDF (87kb) ] | Reprints & permissions |
| 17087236 | CFTC sets the clock ticking for mandatory clearing of interest rate and credit default swaps Evan M. Koster, David Cohn, Daniel Meade (pp. 42 - 46) Keywords: Clearing, Commodity Futures Trading Commission, Credit, Credit default swaps, Financial management, Futures markets, Interest rate swaps, Interest rates, United States of America Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (54kb) ] | Reprints & permissions |
| 17087237 | CFTC approves final rule requiring recording of oral communications Kenneth M. Rosenzweig, Kevin M. Foley, Blake J. Brockway (pp. 47 - 49) Keywords: Commodity Futures Trading Commission, Communications, Exchange members, Futures commission merchant, Futures markets, Introducing broker, Oral communications, Recording, Recordkeeping, Retail foreign exchange dealers Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (45kb) ] | Reprints & permissions |
| 17087238 | Exemptions and no-action relief help funds navigate year-end CFTC registration requirements Kerry Burke, Julian Hammar, Lisa Koff, Loretta Shaw-Lorello, Amanda Weiss, Kristian Wiggert (pp. 50 - 54) Keywords: Commodity markets, Commodity pool operator, Dodd-Frank Wall Street Reform and Consumer Protect, Exemption, Fund management, No-action relief, Registration, US Commodity Exchange Act Article type: Technical paper Please login | Abstract & purchase [ HTML & PDF (58kb) ] | Reprints & permissions |
Editor column
| Article Id: | Article Information: |
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| 17087239 | Editor column Henry A. Davis Abstract | View HTML2012 Awards for Excellence |
| 17087286 | 2012 Awards for Excellence Abstract | View HTML |
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