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The journal of investment compliance
Journal of banking & finance
175
NBER working paper series
158
Working paper / National Bureau of Economic Research, Inc.
156
Journal of financial economics
146
Working paper / Centre for Financial Research
115
NBER Working Paper
114
The review of financial studies
97
The journal of finance : the journal of the American Finance Association
93
International review of financial analysis
92
Finance research letters
91
Journal of financial and quantitative analysis : JFQA
91
Discussion paper / Centre for Economic Policy Research
82
The journal of asset management
79
Pacific-Basin finance journal
63
Journal of empirical finance
58
Management science : journal of the Institute for Operations Research and the Management Sciences
58
Discussion papers / CEPR
50
The European journal of finance
49
Managerial finance
48
Research in international business and finance
46
SpringerLink / Bücher
45
Review of quantitative finance and accounting
44
Applied economics letters
43
Review of finance : journal of the European Finance Association
43
The journal of investing
43
The journal of wealth management
42
Applied financial economics
41
International review of economics & finance : IREF
41
Journal of international financial markets, institutions & money
41
The journal of private equity
41
Die Bank
40
Financial services review : the journal of individual financial management
40
Journal of investment management : JOIM
35
Applied economics
34
Investment management and financial innovations
34
Research paper series / Swiss Finance Institute
33
The journal of corporate finance : contracting, governance and organization
33
Finance India : the quarterly journal of Indian Institute of Finance
32
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ECONIS (ZBW)
41
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41
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1
SEC issues final rule on investment company liquidity risk management
Schwartz, Rachael Leah
;
Pugliese, Domenick
;
Bateman, …
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 43-52
Persistent link: https://www.econbiz.de/10011662072
Saved in:
2
What can mutual fund boards and advisers learn from the AXA trial ruling?
Colby, Eben
;
DeCapo, Thomas
;
Burdon, Kenneth
;
Morris, Aaron
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 58-62
Persistent link: https://www.econbiz.de/10011662092
Saved in:
3
SEC charges private fund administrator with gatekeeping failures
Miller, Keith
;
Lybecker, Martin E.
;
Kanach, Jesse
; …
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 65-67
Persistent link: https://www.econbiz.de/10011662148
Saved in:
4
Marketing non-US private equity funds in the United States : a roadmap through the various regulations and tax implications
Greene, David
;
Clark, Barton
;
Coe, Cheryl
;
FitzGerald, Sean
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 92-104
Persistent link: https://www.econbiz.de/10011662201
Saved in:
5
The ABCs of fund finance : credit facilities for secondaries funds and funds of funds
Kerfoot, Matthew K.
;
Alicandri, Jay R.
;
Perkins, Russel G.
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 8-12
Persistent link: https://www.econbiz.de/10011808432
Saved in:
6
FINRA issues interpretive guidance on related performance in institutional communications
Caccese, Michael S.
;
Pagnano, Clair
;
Rohrer, Eden
; …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 36-39
Persistent link: https://www.econbiz.de/10011808470
Saved in:
7
Direct lending by funds : a comparison of the key EU jurisdictions
Smith, Thomas
;
Volhard, Patricia
;
Davies, Alan J.
; …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 59-66
Persistent link: https://www.econbiz.de/10011808568
Saved in:
8
Shadow banking regime : assessment of investment funds
Prorokowski, Lukas
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 36-45
Persistent link: https://www.econbiz.de/10011704694
Saved in:
9
Cross border master-feeder arrangements : SEC staff slightly expands utility of offshore feeders for global investment management firms, but tax and other challenges remain
Amorosi, Mark
;
Zornada, George
;
Gibson, Todd
;
Almquist, Joel
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 16-20
Persistent link: https://www.econbiz.de/10011804732
Saved in:
10
The Private Fund Limited Partnership : a new fund vehicle for the UK
Gibson, Sally
;
Kittredge, Geoffrey
;
Witney, Simon
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 75-78
Persistent link: https://www.econbiz.de/10011804857
Saved in:
11
SEC proposes sweeping new liquidity risk management rules for mutual funds and ETFs
Rosella, Michael
;
Belitsky, Bill
;
Marghella, Alexandra
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 74-82
Persistent link: https://www.econbiz.de/10011523741
Saved in:
12
AIFMD passport : Europe must try harder
Sims, Stephen
;
Brandt, Patrick
;
Norman, Greg
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 10-16
Persistent link: https://www.econbiz.de/10011523826
Saved in:
13
The SEC turns up the heat on private equity expense allocations
Lieberman, Samuel
;
Araneo, John T.
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 35-38
Persistent link: https://www.econbiz.de/10011523862
Saved in:
14
SEC publishes guidance on mutual fund distribution and sub-accounting fees
Adelfio, Marco
;
Delligatti, Paul J.
;
Monfort, Jason F.
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 39-42
Persistent link: https://www.econbiz.de/10011523866
Saved in:
15
Sun capital : PE funds face increased ERISA exposure
Bintz, Edward
;
Pelley, Douglas
;
Hughes, Gregory
- In:
The journal of investment compliance
17
(
2016
)
3
,
pp. 60-62
Persistent link: https://www.econbiz.de/10011623111
Saved in:
16
Prepare for the magnifying glass : SEC hikes scrutiny of asset managers ; 4 steps to consider
Weiner, Perrie Michael
;
Hunnius, Patrick
;
Alexander, Grant
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 49-51
Persistent link: https://www.econbiz.de/10011344585
Saved in:
17
SEC issues proposed investment company reporting rules
Greene, Nathan J.
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 14-22
Persistent link: https://www.econbiz.de/10011438470
Saved in:
18
The SEC’s evolving scrutiny of private equity firms : KKR hit with an unprecedented enforcement action for broken deal expense misallocation
Rendon Callahan, Veronica
;
Fleishhacker, Ellen Kaye
; …
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 39-42
Persistent link: https://www.econbiz.de/10011438478
Saved in:
19
US Securities and Exchange Commission settles administrative action against fund manager concerning use of fund assets to pay management company expenses
Pershkow, Amy Ward
;
Kanter, Adam D.
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 55-58
Persistent link: https://www.econbiz.de/10011438496
Saved in:
20
SEC fines alternative mutual fund adviser for improper handling of fund assets
McGrath, Michael R.
;
Man, Pablo J.
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 35-37
Persistent link: https://www.econbiz.de/10011405524
Saved in:
21
CFTC harmonization rules : CPOs of RICs benefit from "substituted compliance"
Frydman, Daphne G.
;
Ramirez, Raymond A.
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 17-24
Persistent link: https://www.econbiz.de/10010366733
Saved in:
22
Fortress Europe? : UCITS V and the US fund manager
Renz, Hartmut
;
Culhane, Stephen
;
Firth, Simon
;
Sausen, David
- In:
The journal of investment compliance
15
(
2014
)
2
,
pp. 36-38
Persistent link: https://www.econbiz.de/10010396199
Saved in:
23
Market funds in Europe : a practical look at the marketing regime under the Alternative Investment Fund Managers Directive 2011/61/EU and other regulatory requirements
Ghanty, Jacob
;
Cornelius, Justin
;
Baker, Matthew
; …
- In:
The journal of investment compliance
15
(
2014
)
3
,
pp. 20-27
Persistent link: https://www.econbiz.de/10010428117
Saved in:
24
Director of SEC's division of investment management discusses alternative mutual funds
Kerr, Richard F.
- In:
The journal of investment compliance
15
(
2014
)
4
,
pp. 15-18
Persistent link: https://www.econbiz.de/10010461358
Saved in:
25
SEC issues guidance update regarding enhanced mutual fund disclosure
Pugliese, Domenick
;
Rosella, Michael
;
Hearth, David
- In:
The journal of investment compliance
15
(
2014
)
4
,
pp. 11-14
Persistent link: https://www.econbiz.de/10010461365
Saved in:
26
FINRA fines broker-dealer for failing to apply class A sales charge waivers for certain eligible customers on its mutual fund platform
Kerr, Richard F.
- In:
The journal of investment compliance
15
(
2014
)
4
,
pp. 53-56
Persistent link: https://www.econbiz.de/10010462124
Saved in:
27
FATCA : implications for non-US funds : a general guide for determining the applicability of FACTA to non-USA funds
Garry, Kristen M.
;
Gelencsér, Etienne
;
O'Pray, Eileen M.
; …
- In:
The journal of investment compliance
15
(
2014
)
4
,
pp. 44-52
Persistent link: https://www.econbiz.de/10010462125
Saved in:
28
Depository banks under the alternative investment fund managers directive (AIFMD)
Prorokowski, Lukas
- In:
The journal of investment compliance
15
(
2014
)
4
,
pp. 29-36
Persistent link: https://www.econbiz.de/10010462156
Saved in:
29
European private placements for US managers : navigating the AIFMD minefield
Penhall, Winston
;
Hatfield, Jacqui
- In:
The journal of investment compliance
15
(
2014
)
4
,
pp. 25-28
Persistent link: https://www.econbiz.de/10010462173
Saved in:
30
Private equity funds may be exposed to ERISA pension liabilities and tax risks : priliminary reflections on the M&A and private equity consequences of the Sun Capital decision
Brause, Christian
- In:
The journal of investment compliance
14
(
2013
)
4
,
pp. 48-52
Persistent link: https://www.econbiz.de/10010229654
Saved in:
31
International distribution of mutual funds legal and compliance issues : historical considerations and practical pointers
Sobol, Robert N.
- In:
The journal of investment compliance
13
(
2012
)
2
,
pp. 60-65
Persistent link: https://www.econbiz.de/10009574351
Saved in:
32
Regulatory watch list for 2012 : the shifting landscape for hedge funds and other private funds
Cain, James M.
;
Frydman, Daphne G.
;
Roby, David
; …
- In:
The journal of investment compliance
13
(
2012
)
2
,
pp. 6-14
Persistent link: https://www.econbiz.de/10009574366
Saved in:
33
CFTC proposes harmonization rules for mutual funds
Molesworth, Rita
;
Tuchman, Deborah A.
;
O'Donnell, Dianne E.
- In:
The journal of investment compliance
13
(
2012
)
3
,
pp. 46-50
Persistent link: https://www.econbiz.de/10009664258
Saved in:
34
An analysis of the regulated investment company modernization Act of 2010
Hervey, Richard M.
- In:
The journal of investment compliance
12
(
2011
)
2
,
pp. 51-71
Persistent link: https://www.econbiz.de/10009236829
Saved in:
35
Recommended annual review for hedge funds and other private fund managers
Schiera, Thomas M.
- In:
The journal of investment compliance
12
(
2011
)
2
,
pp. 37-50
Persistent link: https://www.econbiz.de/10009236831
Saved in:
36
FINRA IPO allocation rule : investment funds must now consider compliance
Sacks, Russell
;
Blankenship, Michael
;
Blau, Steven
- In:
The journal of investment compliance
12
(
2011
)
1
,
pp. 35-40
Persistent link: https://www.econbiz.de/10009129917
Saved in:
37
Second Circuit rules securities froud claim of mutual fund shareholders relating to affiliate transfer agent arrangements may proceed, but upholds dismissal of breach of fiduciary...
Dodds, William K.
;
Vargo, Brian S.
- In:
The journal of investment compliance
11
(
2010
)
4
,
pp. 56-58
Persistent link: https://www.econbiz.de/10008772716
Saved in:
38
In Rule 12b-1 overhaul, SEC proposes dramatic changes to mutual fund distribution arrangements
Greene, Nathan J.
- In:
The journal of investment compliance
11
(
2010
)
4
,
pp. 51-55
Persistent link: https://www.econbiz.de/10008772721
Saved in:
39
US Financial Reform Law : key changes for non-US advisers and certain investors in hedge and private equity funds
Godfrey, Anne Marie
;
Holton, Thomas John
;
Raymond, Paul B.
- In:
The journal of investment compliance
11
(
2010
)
4
,
pp. 19-26
Persistent link: https://www.econbiz.de/10008772770
Saved in:
40
US financial reform law : key changes for private fund managers under the US Investment Advisers Act and changes to certain investor eligibility qualifications
Holton, Thomas John
;
Raymond, Paul B.
;
Stefanak, Curtis
- In:
The journal of investment compliance
11
(
2010
)
4
,
pp. 9-18
Persistent link: https://www.econbiz.de/10008772782
Saved in:
41
A Stern look at hedge fund risk
Kosky, Jeremy
;
James, Simon
;
Carty, Helen
- In:
The journal of investment compliance
11
(
2010
)
1
,
pp. 31-34
Persistent link: https://www.econbiz.de/10003967641
Saved in:
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