Category:Accounting and Finance
Table Of Contents
The purpose of this article is to analyze the SEC enforcement staff's recent scrutiny of the roles and responsibilities of securities firms for the protection of…
The purpose of this article is to analyze and draw conclusions from recent SEC staff proposals and commissioners' comments and a recent roundtable discussion concerning…
The purpose of this article is to explain recent enforcement trends under the Foreign Corrupt Practices Act (FCPA), providing examples of recent cases.
The purpose of this paper is to illustrate through a recent Order Dismissing Proceedings against a San Francisco hedge fund manager the interplay between the SEC's…
The purpose of this paper is to explain restrictions on nonqualified deferred compensation arrangements contained in Section 409A of the Internal Revenue Code.
The aim of this paper is to explain the details of a trial program in China to introduce margin trading and securities lending.
The purpose of this paper is to remind investment company compliance professionals of common traps for unwary investors, to emphasize the importance of detecting and…
The purpose of the paper is to emphasize the need for technology and people investments in security and compliance and to show the cost of not making such investments.
The aim of this paper is to provide excerpts of selected NASD actions in April, May, and June 2007.
Online date, start – end:2000
Copyright Holder:Emerald Publishing Limited
- Dr Henry Davis