Journal of Investment Compliance: Volume 9 Issue 2
Table of contents
When do breakpoints give mutual fund investors a break?
Faten Sabry, Winai WongsurawatThe purpose of this paper is to describe data assembled on all registered US investment companies on advisory fees using the NSAR filings and to analyze the impact of the…
The development of US regulation of broker‐dealer research
Charles S. Gittleman, Russell D. SacksThe purpose of this paper is to describe regulatory activities since the initial regulatory actions between 2001 and 2003 in response to securities firm research analyst conflicts…
The Summary Prospectus: the most significant change to mutual fund disclosure since the Investment Company Act of 1940
Len DriscollThe purpose of this paper is to discuss the SEC's Proposed Release 33‐8861 of November 21, 2007, “Enhanced disclosure and new prospectus delivery option for registered open‐end…
Recommended annual review for hedge funds and other private fund managers
Steven M. Giordano, Richard A. Goldman, Robert G. Leonard, Michael F. MavridesThe purpose of this paper is to remind sponsors and managers of hedge funds and private funds (including private equity and venture capital funds) of certain “best practices” that…
Navigating the evolving regulatory maze: compliance management in a changing world
Brian Fahey, Marc RinaldiThe purpose of this paper is to assist investment company managers in proactively navigating the risky and ever‐changing market and regulatory environment and to provide an…
SEC shortens Rule 144 holding periods and loosens restrictions on resales of privately placed securities
Valerie Ford Jacob, Daniel J. Bursky, Stuart H. Gelfond, Michael A. Levitt, Paul D. Tropp, Vasiliki B. TsaganosThe purpose of this paper is to describe recent amendments to Rule 144 of the Securities Act of 1933 concerning holding periods and resale of privately placed securities.
The new Italian Banking Regulation concerning banks' organization and corporate governance
Gabriella OpromollaThe purpose of this paper is to describe the Bank of Italy's new comprehensive regulatory framework containing guidelines on the organization and corporate governance of banks.
SEC proposes enhancements to Regulation S‐P
Hardy Callcott, Gail Marshall‐SmithThe purpose of this paper is to explain the SEC's proposed amendments to Regulation S‐P to enhance the protection of consumer financial information.
SEC approves FINRA rule governing sales practices of deferred variable annuities
Jeffrey S. Puretz, Anthony H. Zacharski, Alan Rosenblat, Alison C. RyanThe purpose of this paper is to summarize and discuss FINRA Rule 2821, which covers broker‐dealer sales practices with respect to purchases and exchanges of deferred variable…
Summary of selected FINRA Regulatory Notices and Disciplinary Actions: January‐March 2008
Henry A. DavisThe purpose of this paper is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices issued from January to March 2008 and a sample of…
ISSN:
1528-5812Online date, start – end:
2000 – 2021Copyright Holder:
Emerald Publishing LimitedEditor:
- Henry A. Davis