Journal of Investment Compliance: Volume 4 Issue 4
Table of contents
NASD’s focus on mutual fund abuses: The state of play and what’s to come
Barry R. Goldsmith, Ira D. GluckInvestor trust in the mutual fund industry has been undermined seriously in recent months by the wide range of abuses brought to light by federal and state regulators. While NASD…
Investment company and investment adviser compliance programs ‐ New requirements in a changed regulatory environment
Keith T. Robinson, R. William HawkinsAs part of an ongoing and potentially far‐reaching overhaul of investment company and investment adviser regulation, the Securities and Exchange Commission recently adopted Rule…
A straightforward discussion of compliance program requirements
David E. ScottThe challenges involved in meeting the new requirements of Rule 206 (4)‐7 under the Investment Advisers Act of 1940 and Rule 38a‐1 under the Investment Company Act of 1940 will be…
Compensation practices for retail sales of mutual funds
Susan S. KrawczykDuring 2003, compensation practices for the retail sale of mutual funds came under fire. Recent revelations about failures in the processing of mutual fund breakpoints had…
The arbitration of whistleblower cases
Deborah MasucciDisputes regarding termination of employment under the Whistleblower provisions of the Sarbanes‐Oxley Corporate Reform Act of 2002 are subject to required arbitration according to…
Investment management compliance: The dawn of a new era?
Roger Turner, Carlo Di FlorioThe expectations of investors, regulators, and indeed management towards the compliance department are changing. For compliance to evolve, management must review its current…
Shareownership: The foundation of corporate governance
Robert Carlson, Charles Valdes, Mark AnsonIn this article, the authors explore the origins of share ownership and its implications for corporate governance. They trace some of the current problems with governance…
Regulatory Reform Redux: Corporate Governance and the New York Stock Exchange
Stuart J. Kaswell, Megan C. JohnsonOn December 17, 2003 the Securities and Exchange Commission (SEC) approved an overhaul of the New York Stock Exchange’s (NYSE’s) system of corporate governance. After questions…
Market structure and market share: Understanding the NYSE’s competitive position
Michael G. RudeThe New York Stock Exchange (NYSE) is at the center of an increasing chorus of market professionals who complain that investors are at the mercy of a system that caters to…
Baseball and financial markets: The need to evolve
Adam DenerThe corollary between the issues facing both major league baseball and its balance of power and Wall Street’s current trials and tribulations around specialist models…
Research analyst conflicts of interest: Implementation of the rules
Samuel J. Winer, Amy N. Kroll, Arden T. PhillipsThe National Association of Securities Dealers and the New York Stock Exchange recently have adopted and then amended new rules relating to research analyst conflicts of interest…
Hedge Funds: The aftermath of the SEC staff report
Jedd Wider, Kevin ScanlanOn September 29, 2003, the staff (“Staff”) of the Division of Investment Management of the U.S. Securities and Exchange Commission (the “SEC”) issued a report to the SEC entitled…
ISSN:
1528-5812Online date, start – end:
2000 – 2021Copyright Holder:
Emerald Publishing LimitedEditor:
- Henry A. Davis