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~isPartOf:"The journal of investment compliance"
~subject:"Financial markets law"
~subject:"bond"
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Financial markets law
bond
Kapitalmarktrecht
46
Financial supervision
41
Finanzmarktaufsicht
41
Financial market regulation
34
Finanzmarktregulierung
34
Securities and Exchange Commission (SEC)
20
USA
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Callcott, W. Hardy
2
Foley, Timothy C.
2
Forbes, Jessica
2
Gelfond, Stuart
2
Greene, Nathan J.
2
Nathan, Daniel A.
2
Newell, John
2
Parrino, Richard J.
2
Adams, Daniel
1
Adelfio, Marco
1
Asaro, Michael A.
1
Avett, F. Reid
1
Baird, Elizabeth H.
1
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1
Bayless, David
1
Benjamin, James
1
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1
Berman, Kenneth
1
Berthou, Erica
1
Bettigole, Bruce
1
Blake, Andrew
1
Blumenstein, Ian B.
1
Bondi, Bradley J.
1
Boryshansky, Joseph
1
Brady, Andrew
1
Bramnik, Robert P.
1
Breslin, William J.
1
Caiazza, Amy B.
1
Chan, Peter K. M.
1
Chunias, Jennifer
1
Clark, Michael E.
1
Cohen, Jared
1
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1
Connolly, Charles F.
1
Curzon, Elliott
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Daniel, Jason
1
Delligatti, Paul J.
1
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1
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1
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The journal of investment compliance
IMF Working Papers
317
IMF Staff Country Reports
120
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
Financial stability review : FSR
19
IMF Occasional Papers
18
Arbeitspapiere / Universität Osnabrück, Institut für Handels- und Wirtschaftsrecht
16
Betriebs-Berater : BB
16
Die Aktiengesellschaft : AG : Zeitschrift für deutsches, europäisches und internationales Aktien-, Unternehmens- und Kapitalrecht
16
Europäische Hochschulschriften / 2
16
Journal of securities operations & custody
16
Unternehmensfinanzierung am Kapitalmarkt
15
Zeitschrift für Bankrecht und Bankwirtschaft : ZBB
15
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
12
Yale journal on regulation
12
Der Betrieb
11
Journal of financial economics
11
Working paper / National Bureau of Economic Research, Inc.
11
Journal of international business law
10
Recht der internationalen Wirtschaft : RIW ; Betriebs-Berater international
10
Schriften des Augsburg Center for Global Economic Law and Regulation : Arbeiten zum internationalen Wirtschaftsrecht und zur Wirtschaftsregulierung
10
Schriften zum Unternehmens- und Kapitalmarktrecht
10
The Denver journal of international law and policy
10
Abhandlungen zum deutschen und europäischen Gesellschafts- und Kapitalmarktrecht : AGK
9
Journal of banking & finance
9
NBER working paper series
9
Zeitschrift für Unternehmens- und Gesellschaftsrecht : ZGR
9
Bank-Praktiker : rechtssicher, revisionsfest, risikogerecht
8
SpringerLink / Bücher
8
The journal of corporate accounting & finance
8
Discussion paper series / John M. Olin Center for Law, Economics, and Business, Harvard Law School
7
Europäische Hochschulschriften / 5
7
Hedgefonds und private equity - Fluch oder Segen?
7
MiFID-Kompendium : praktischer Leitfaden für Finanzdienstleister
7
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ECONIS (ZBW)
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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
Saved in:
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
Saved in:
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
Saved in:
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
Saved in:
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
Saved in:
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
Saved in:
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
Saved in:
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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