Search Results - subject:"Pay‐to‐play"

Investment advising: Pay-to-play, or capture?

Xanthopoulos, Apostolos - In: SPOUDAI - Journal of Economics and Business 69 (2019) 3, pp. 75-110

In "Theory of Economic Regulation," Stigler introduces the ideas of demand for, and supply of regulation (Stigler, 1971). Similar to capture in regulation, consultants to institutional investors enhance the benefits of their own firms, create a loss in information ratio to their clients, and...

Persistent link: https://www.econbiz.de/10014477261

Investment advising : pay-to-play, or capture?

Xanthopoulos, Apostolos - In: Spoudai : journal of economics and business 69 (2019) 3, pp. 75-110

Persistent link: https://www.econbiz.de/10012172788

Paid and Free Digital Business Models Innovations in the Video Game Industry

DAVIDOVICI-NORA, Myriam - In: Communications & Strategies 1 (2014) 94, pp. 83-102

Digitalization of distribution has led to the creation of a broad range of digital business models in the video game industry among them freemium, subscription, advertisement, free-to-play. What are the borders of each model and on what economic grounds can we compare them? This paper proposes...

Persistent link: https://www.econbiz.de/10011096692

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

Pay to play violations: an SEC focus

Van Grover, Robert - In: Journal of Investment Compliance 18 (2017) 2, pp. 13-15

firms related to charges that those firms violated Rule 206(4)-5, known as the “Pay-to-Play Rule,” of the Investment … Advisers Act of 1940. Design/methodology/approach Explains the Pay-to-Play Rule, its applicability to investment advisers, the … to the Pay-to-Play Rule and the effectiveness of their implementation. Originality/value Practical analysis and guidance …

Persistent link: https://www.econbiz.de/10014893692

SEC announces first investment adviser "pay-to-play" enforcement action

Goldberger, M. Norman; Grugan, John C.; O'Neil, Christine; … - In: The journal of investment compliance 15 (2014) 3, pp. 35-37

Persistent link: https://www.econbiz.de/10010428108

SEC announces first investment adviser ‘pay-to-play’ enforcement action

Norman Goldberger, M.; C. Grugan, John; O’Neil, Christine - In: Journal of Investment Compliance 15 (2014) 3, pp. 35-37

’s enforcement action, the historical context of municipal market pay-to-play rules, a summary of the pay-to-play prohibitions, and … “pay to play” rules for investment advisers since those rules were adopted nearly four years ago. Design …

Persistent link: https://www.econbiz.de/10014893840

Pay to play: recent SEC actions highlight importance of compliance controls

Pittman, Edward; Carroll, Brenden; Murphy, Sean - In: Journal of Investment Compliance 14 (2013) 2, pp. 21-27

Securities Rulemaking Board Rule G‐37, one of the earliest pay‐to‐play rules; the Settlement Order and how it addresses in … Board Rule G‐37, and certain practices firms have incorporated into their pay‐to‐play compliance programs. Findings – The … to pay‐to‐play restrictions, particularly highlighting issues relating to “in‐kind” contributions and solicitation …

Persistent link: https://www.econbiz.de/10014893735

Pay‐to‐play: SEC staff provides new guidance on Advisers Act Rule 206(4)‐5

Pittman, Edward L.; Harvey, Christopher P.; Sherman, … - In: Journal of Investment Compliance 12 (2011) 4, pp. 26-30

“effective dates” and “compliance dates” under the related recordkeeping rule. Findings – Pay‐to‐play is the practice of making …

Persistent link: https://www.econbiz.de/10014893400