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Keywords: Financial information
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (1): 32–41.
Published: 26 April 2013
... Investment advisers Financial planners Financial advisers Investment consultants US Securities and Exchange Commission Professions Investments Financial information Shortly after the New Year, one of our registered investment advisers sent us a copy of After Tamerlane, a 500‐page...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2008) 9 (2): 55–59.
Published: 13 June 2008
...Hardy Callcott; Gail Marshall‐Smith Purpose The purpose of this paper is to explain the SEC's proposed amendments to Regulation S‐P to enhance the protection of consumer financial information. Design/methodology/approach The paper explains: the safeguards and disposal rules; the Commission's...
