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~isPartOf:"Arbeitspapiere / Universität Osnabrück, Institut für Handels- und Wirtschaftsrecht"
~isPartOf:"The journal of investment compliance"
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Arbeitspapiere / Universität Osnabrück, Institut für Handels- und Wirtschaftsrecht
The journal of investment compliance
Bank-Archiv : Zeitschrift für das gesamte Bank- und Börsenwesen : journal of banking and financial research
38
Global financial crisis : navigating and understanding the legal and regulatory aspects
33
The journal of futures markets
21
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Journal of securities operations & custody
16
Unternehmensfinanzierung am Kapitalmarkt
15
Zeitschrift für Bankrecht und Bankwirtschaft : ZBB
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Revue d'économie financière : revue trimestrielle de l'Association Europe finances régulations
14
Untersuchungen über das Spar-, Giro- und Kreditwesen / B
14
Finanz-Betrieb : FB ; Zeitschrift für Unternehmensfinanzierung und Finanzmanagement
13
Die Bank
12
The business lawyer
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Yale journal on regulation
12
Der Betrieb
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Journal of financial economics
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Recht der internationalen Wirtschaft : RIW ; Betriebs-Berater international
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Schriften des Augsburg Center for Global Economic Law and Regulation : Arbeiten zum internationalen Wirtschaftsrecht und zur Wirtschaftsregulierung
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Schriften zum Unternehmens- und Kapitalmarktrecht
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The Denver journal of international law and policy
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Abhandlungen zum deutschen und europäischen Gesellschafts- und Kapitalmarktrecht : AGK
9
Journal of banking & finance
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NBER working paper series
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Bank-Praktiker : rechtssicher, revisionsfest, risikogerecht
8
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The journal of corporate accounting & finance
8
Discussion paper series / John M. Olin Center for Law, Economics, and Business, Harvard Law School
7
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7
Hedgefonds und private equity - Fluch oder Segen?
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ECONIS (ZBW)
62
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1
Securities regulators' overlapping priorities provide guidance for examination preparation
Nathan, Daniel A.
;
Marshall, Elizabeth
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 15-18
Persistent link: https://www.econbiz.de/10011662048
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2
SEC adopts new disclosure and recordkeeping requirements for investment advisers
Greene, Nathan
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 19-24
Persistent link: https://www.econbiz.de/10011662051
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3
The municipal advisor regulatory framework : where we are and where to next
Lanza, Ernesto
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 53-57
Persistent link: https://www.econbiz.de/10011662083
Saved in:
4
SEC requires hedge funds to prevent insider trading despite unsettled legal definition
Morgan, Nicolas
;
Zwickel, Art
;
Zaccaro, Thomas A.
; …
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 63-64
Persistent link: https://www.econbiz.de/10011662110
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5
An update on the EU securities financing transactions regulation
Yonge, William J. G.
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 78-83
Persistent link: https://www.econbiz.de/10011662166
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6
The SEC provides new custody rule guidance to investment advisers
Wirig, Matthew T.
;
Poorbaugh, Kate S.
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 9-12
Persistent link: https://www.econbiz.de/10011704623
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7
Pay to play violations : an SEC focus
Van Grover, Robert
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 13-15
Persistent link: https://www.econbiz.de/10011704651
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8
SEC enforcement actions under exchange act rule 21F-17
White, Thomas W.
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 1-10
Persistent link: https://www.econbiz.de/10011804682
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9
SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme
Bondi, Bradley J.
;
Petillo-Décossard, Kimberly C.
; …
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 41-43
Persistent link: https://www.econbiz.de/10011804784
Saved in:
10
CFTC modernizes Rule 1.31 recordkeeping requirements
Mitchell, David S.
;
McLaughlin, Robert M.
;
Breslin, …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 45-49
Persistent link: https://www.econbiz.de/10011808535
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