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Editorâs letter

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SEC Offers Relief to M&A Brokers

AbstractPurpose - To explain a No-Action letter recently issued by the U.S. Securities and Exchange Commission (SEC) permitting persons who qualify as "M&A Brokers" to facilitate the sale of...

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The SECâs Municipal Advisor Rule Will Prompt New Practices for Market...

AbstractPurpose - To explain the new Municipal Advisor Rule that will take effect on July 1, 2014, which regulates persons and firms that provide advice to municipal issuers and obligated parties...

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SEC staff expands relief from broker-dealer registration under US Securities...

AbstractPurpose - To review the M&A Brokers "no-action" letter issued in February 2014 by the staff of the US Securities and Exchange Commission that clarifies the circumstances in which...

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A New SEC Enforcement Direction for 2014

AbstractPurpose - To summarize and comment on the Securities and Exchange Commission’s (SEC’s) two-day conference, "The SEC Speaks," held February 21-22, 2014, in which commissioners and senior...

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SECâs Examination Program Issues a Risk Alert on Investment Adviser Due...

AbstractPurpose - To summarize and interpret a Risk Alert titled "Investment Adviser Due Diligence Processes for Selecting Alternative Investments and their Respective Managers," issued by the U.S....

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Fortress Europe? UCITS V and the US Fund Manager

AbstractPurpose - To discuss the new UCITS V Directive, recently agreed upon by the European Parliament and Council, which will include safeguards to protect client assets in the event of a...

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Broker-Dealers Need to Respond to Recent Focus on Cybersecurity Threats

AbstractPurpose - To alert broker-dealers to several regulatory developments relating to cybersecurity threats. Design/methodology/approach - Reviews four regulatory developments in the cybersecurity...

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Shareholder Activism Spreads Globally

AbstractPurpose - To inform on recent developments in shareholder activism, a phenomenon well-documented in North America and Europe and now spreading to Latin America, and summarize the key...

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Editorâs Letter

AbstractNot available.

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A new SEC enforcement direction for 2014

AbstractPurpose – To summarize and comment on the Securities and Exchange Commission’s (SEC’s) two-day conference, “The SEC Speaks,” held February 21-22, 2014, in which commissioners and...

View Article

SEC staff expands relief from broker-dealer registration under US Securities...

AbstractPurpose – To review the M&A Brokers “no-action” letter issued in February 2014 by the staff of the USA Securities and Exchange Commission that clarifies the circumstances in which...

View Article

SEC offers relief to M&A brokers

AbstractPurpose – To explain a No-Action letter recently issued by the USA Securities and Exchange Commission (SEC) permitting persons who qualify as “M&A Brokers” to facilitate the sale of...

View Article


The SECâs Municipal Advisor Rule will prompt new practices for market...

AbstractPurpose – To explain the new Municipal Advisor Rule that will take effect on July 1, 2014, which regulates persons and firms that provide advice to municipal issuers and obligated parties...

View Article

Broker-dealers need to respond to recent focus on cybersecurity threats

AbstractPurpose – To alert broker-dealers to several regulatory developments relating to cybersecurity threats. Design/methodology/approach – Reviews four regulatory developments in the...

View Article


SECâs examination program issues a risk alert on investment adviser due...

AbstractPurpose – To summarize and interpret a Risk Alert titled “Investment Adviser Due Diligence Processes for Selecting Alternative Investments and their Respective Managers,” issued by the...

View Article

Editorâs letter

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Fortress Europe? UCITS V and the US Fund Manager

AbstractPurpose – To discuss the new UCITS V Directive, recently agreed upon by the European Parliament and Council, which will include safeguards to protect client assets in the event of a...

View Article

Shareholder activism spreads globally

AbstractPurpose – To inform on recent developments in shareholder activism, a phenomenon well-documented in North America and Europe and now spreading to Latin America, and summarize the key...

View Article

How sell side advisors can reduce litigation risk in light of...

AbstractPurpose – To explain the implications of a March 2014 Delaware Court of Chancery decision that found RBC Capital Markets liable for damages for aiding and abetting breaches of fiduciary duty...

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