...Joseph P. Kelly, II; Elliott R. Curzon Purpose The paper aims to explain the new Financial Industry Regulatory Authority (FINRA) rules governing communications with the public approved by the Securities and Exchange Commission (SEC) on March 29, 2012. Design/methodology/approach The following...

...Rob Sobol Purpose The purpose of this paper is to clearly set forth before fund business leaders certain current relevant investment management compliance regulatory issues, to communicate the necessary areas of expertise and duties of a chief compliance officer (CCO), and to reinforce the need...

...Brandon Becker; Bruce H. Newman; Andre Owens; Soo J. Yim; Christie Oberg Purpose The purpose of this paper is to discuss the implications of a recent SEC settlement with Morgan Stanley & Co. (MS & Co.) with regard to: communication and coordination among legal, compliance, business...