OCIE to investment advisers : focus on these five problem areas
Brynn D. Peltz, Ilan S. Nissan and Evyn W. Rabinowitz
| Year of publication: |
2017
|
|---|---|
| Authors: | Peltz, Brynn D. ; Nissan, Ilan S. ; Rabinowitz, Evyn W. |
| Published in: |
The journal of investment compliance. - Bingley : Emerald, ISSN 1528-5812, ZDB-ID 2278191-2. - Vol. 18.2017, 2, p. 16-18
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| Subject: | U.S. Securities and Exchange Commission (SEC) | Custody Rule | Books and Records Rule | Code of Ethics Rule | Compliance Rule | Required regulatory filings | USA | United States | Finanzmarktaufsicht | Financial supervision | Finanzmarktregulierung | Financial market regulation | Wertpapierrecht | Securities law | Kapitalmarktrecht | Financial markets law |
| Type of publication: | Article |
|---|---|
| Type of publication (narrower categories): | Aufsatz in Zeitschrift ; Article in journal |
| Language: | English |
| Other identifiers: | 10.1108/JOIC-04-2017-0025 [DOI] |
| Source: | ECONIS - Online Catalogue of the ZBW |
Persistent link: https://www.econbiz.de/10011704661