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1-7 of 7
Keywords: US Securities and Exchange Commission
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Journal Articles
The SEC brings its first enforcement action under the identity theft red flags rule
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2019) 20 (1): 31–35.
Published: 04 April 2019
...Vincente L. Martinez; Julia B. Jacobson; Nancy C. Iheanacho Purpose To explain the significance of the first enforcement action under the Identity Theft Red Flags Rule by the US Securities and Exchange Commission (SEC), which was announced on September 26, 2018. Design/methodology/approach...
Journal Articles
Cross border master-feeder arrangements: SEC staff slightly expands utility of offshore feeders for global investment management firms, but tax and other challenges remain
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (3): 16–20.
Published: 04 September 2017
...) US Securities and Exchange Commission On March 8, 2017, the staff of the Securities and Exchange Commission (“SEC”) granted no-action relief that puts global investment management firms one step closer to being able to offer US registered open-end management investment companies more broadly...
Journal Articles
SEC institutes administrative proceedings against eight registered fund directors for failure to properly oversee asset valuations
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (1): 29–31.
Published: 26 April 2013
...Bibb Strench; Jeffrey Schellenger Purpose The purpose of this paper is to explain the meaning and impact of the US Securities and Exchange Commission's (SEC) December 10, 2012 enforcement action against former mutual fund directors for failing to properly oversee the valuation of mutual fund...
Journal Articles
DOJ and the SEC issue much‐anticipated FCPA guidance
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (1): 5–15.
Published: 26 April 2013
...Roger Witten; Kimberly Parker; Jay Holtmeier Purpose The purpose of this paper is to explain the joint guidance on the US Foreign Corrupt Practices Act (FCPA or the Act) published on November 14, 2012 by the US Department of Justice (DOJ) and the US Securities and Exchange Commission (SEC...
Journal Articles
Professionalism and investment advisers
Available to Purchase
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
US$500 and a click: investing the “crowdfunding” way
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (4): 9–13.
Published: 23 November 2012
... guidance from experienced financial services lawyers. Stuart H. Gelfond can be contacted at: stuart.gelfond@friedfrank.com © Emerald Group Publishing Limited 2012 US Securities and Exchange Commission Jumpstart Our Business Startups (JOBS) Act Crowdfunding Capital markets Financing...
Journal Articles
Summary and analysis of Dodd‐Frank rules for investment advisers: registration requirements, exemptions, family offices, performance fee eligibility
Available to PurchaseMarybeth Sorady, Daren Domina, Wendy Cohen, Fred Santo, Henry Bregstein, Meryl Wiener, Marilyn Okoshi, Jack P. Governale
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (4): 4–17.
Published: 29 November 2011
... controls, or has ultimate responsibility for, the management of private fund assets, though day‐to‐day management of certain assets may also take place at another location. © Company 2011 Investment advisers Dodd Frank Act Securities regulation US Securities and Exchange Commission...
