Category:Accounting and Finance
Table Of Contents: Volume 6 Issue 3
To provide guidance to investment companies on document retention policies based on Section 802 of the Sarbanes‐Oxley Act of 2002, codified as Section 1519 of the United…
To provide an overview of the new uniform definition of “branch office” and to discuss how that definition will influence broker‐dealer supervisory programs.
To introduce the Market in Financial Instruments Directive (MiFID).
To explain current guidelines for outsourcing as provided by the Joint Forum, the EU Markets in Financial Instruments Directive (MiFID), and the UK Financial Services Authority.
To show how conflicts of interest and disingenuous investment research at the end of the 1990s stock market bubble occurred in Australia as well as the USA and Western Europe.
Online date, start – end:2000
Copyright Holder:Emerald Publishing Limited
- Dr Henry Davis