Category:Accounting and Finance
Table Of Contents
Private placement variable life insurance and annuities invested in hedge funds: due diligence issues for all parties to the transactionRoger Lorence, Steven Q. Zhang
The purpose of this paper is to highlight not only the pre‐closing, but also the continuing due diligence required of all parties in private placement life insurance or…
The purpose of this paper is to identify and discuss issues impacting Form ADV filings that include new adviser firm brochures and brochure supplements.
This paper seeks to describe the recent SEC Roundtable on Money Market Funds and Systemic Risk and the context behind the roundtable.
The purpose of this paper is to explain FINRA's recent overhaul of the Discovery Guide for arbitrations.
Recently, the US Securities and Exchange Commission (SEC) adopted final rules for the expanded whistleblower program established by the Dodd‐Frank Wall Street Reform and…
The purpose of the paper is to explain Financial Industry Regulatory Authority (“FINRA”) Regulatory Notice 11 11, which requests comment on a concept proposal to further…
The purpose of this paper is to assess the role of Money Laundering Reporting Officers (MLROs) in combating money laundering in Zambia's commercial banks.
The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued in March…
Online date, start – end:2000
Copyright Holder:Emerald Publishing Limited
- Dr Henry Davis