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ECONIS (ZBW)
136
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1
Macroprudential policies in a low interest-rate environment
Rubio, Margarita
;
Yao, Fang
-
2017
Persistent link: https://www.econbiz.de/10011743134
Saved in:
2
A macroprudential stable funding requirement and monetary policy in a small open economy
Jacob, Punnoose
;
Munro, Anella
-
2016
Persistent link: https://www.econbiz.de/10011500474
Saved in:
3
Applying an inflation targeting lens to macroprudential molicy `institutions'
Kamber, Güneş
;
Karagedikli, Özer
;
Smith, Christie
-
2015
Persistent link: https://www.econbiz.de/10011500410
Saved in:
4
When is macroprudential policy effective?
McDonald, Chris
-
2015
Persistent link: https://www.econbiz.de/10011500424
Saved in:
5
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:
6
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:
7
SEC adopts rules and forms to modernize reporting requirements for registered investment companies
Cohen, Stephen
;
Johnson, Megan
;
Brooks, Gary
;
Higgs, Brooke
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 25-42
Persistent link: https://www.econbiz.de/10011662066
Saved in:
8
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:
9
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:
10
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:
11
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:
12
Are your customer accounts in order? : SEC announces sweep of broker-dealers and implementation of the customer protection rule initiative
Beck Mitchum, Melissa
;
Xiong, Bob
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 68-74
Persistent link: https://www.econbiz.de/10011662150
Saved in:
13
SEC fines non-US entities for unregistered cross-border brokerage and advisory activities
Burns, James
;
Saunders, Kimberly Beattie
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 75-77
Persistent link: https://www.econbiz.de/10011662162
Saved in:
14
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:
15
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:
16
OCIE to investment advisers : focus on these five problem areas
Peltz, Brynn D.
;
Nissan, Ilan S.
;
Rabinowitz, Evyn W.
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 16-18
Persistent link: https://www.econbiz.de/10011704661
Saved in:
17
What is a Regulation SHO bona-fide market maker?
Bergmann, Larry E.
;
Dombach, James P.
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 19-26
Persistent link: https://www.econbiz.de/10011704668
Saved in:
18
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:
19
SEC shortens standard settlement cycle to T+2
Burns, James
;
Anderson, James E.
;
Saunders, Kimberly Beattie
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 11-15
Persistent link: https://www.econbiz.de/10011804688
Saved in:
20
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:
21
SEC approves new continued listing standards for ETFs
Teufel, Adam
;
Geissler, Christopher J.
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 21-25
Persistent link: https://www.econbiz.de/10011804736
Saved in:
22
US securities and exchange commission's division of investment management issues guidance regarding robo-advisers
Monaco, Stephanie M.
;
Pershkow, Amy Ward
;
Cruz, Leslie S.
; …
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 26-33
Persistent link: https://www.econbiz.de/10011804762
Saved in:
23
SEC publishes important guidance on the Custody Rule, participating affiliate arrangements, robo-advisers, Form PF and certain compliance topics
Larson, Joyce E.
;
Brown, Kara J.
;
Bell, Ivet A.
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 34-40
Persistent link: https://www.econbiz.de/10011804766
Saved in:
24
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:
25
AML compliance in the age of individual accountability
Greene, Carlton
;
Hanusik, Thomas
;
Stinebower, Cari
; …
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 44-47
Persistent link: https://www.econbiz.de/10011804788
Saved in:
26
Selling structured products to retail investors in the US
Sheehan, Margaret
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 59-63
Persistent link: https://www.econbiz.de/10011804835
Saved in:
27
Investment recommendations under the Market Abuse Regulation (MAR) : operative guidelines issued by the Italian Securities and Exchange Commission (CONSOB)
Parola, Lorenzo
;
Falco, Francesco
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 85-90
Persistent link: https://www.econbiz.de/10011804889
Saved in:
28
Kokesh v. SEC : the end of a disgorgement era?
Litt, Marc
;
Tomas, Jerome P.
;
Yingling, Elizabeth L.
; …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 13-15
Persistent link: https://www.econbiz.de/10011808435
Saved in:
29
SEC's unwavering focus on disclosure of valuation methods and calculation of IRRs by fund sponsors
Earley, Michael P.
;
Panza, Jessica
;
Thrapp, Katherine
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 29-30
Persistent link: https://www.econbiz.de/10011808459
Saved in:
30
An overview of the FINRA Rule 4210 margin amendments
Mathews, Nikiforos
;
Robison, Jonas
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 31-35
Persistent link: https://www.econbiz.de/10011808462
Saved in:
31
SEC permits all issuers to submit confidential draft registration statements
Brady, Andrew
;
Breheny, Brian
;
Gasaway, Michelle
; …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 16-21
Persistent link: https://www.econbiz.de/10011808466
Saved in:
32
A review of the SEC Participating Affiliate No-Action Letters' relief from Investment Advisers Act of 1940 registration for foreign investment advisers
Cohen, Wendy E.
;
Dickstein, David Y.
;
Hennion, Christian B.
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 22-28
Persistent link: https://www.econbiz.de/10011808467
Saved in:
33
ESMA issues Brexit opinions to EU regulators : a warning shot not only to the UK but also to the EU27
Yonge, William
;
Currie, Simon
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 50-52
Persistent link: https://www.econbiz.de/10011808540
Saved in:
34
SEC approves long-anticipated FINRA research rules
Kroll, Amy Natterson
;
Ayanian, John Z.
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 39-44
Persistent link: https://www.econbiz.de/10011523734
Saved in:
35
SEC proposes sweeping changes to the use of derivatives and financial commitment transactions by registered funds and BDCs
Brizek, Ryan P.
;
Bullitt, P. Georgia
;
DiMartino, Rose F.
; …
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 51-73
Persistent link: https://www.econbiz.de/10011523738
Saved in:
36
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:
37
Cybersecurity enforcement actions : is the SEC bringing strict liability cases?
Rubin, Brian
;
Xu, Amy
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 112-116
Persistent link: https://www.econbiz.de/10011523768
Saved in:
38
SEC adopts "crowdfunding" rules for start-up businesses : an easy way to bet on the next Google?
Gelfond, Stuart
;
Eren, Burcin
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 117-121
Persistent link: https://www.econbiz.de/10011523777
Saved in:
39
SEC adopts rule to implement Dodd-Frank CEO pay ratio disclosure requirement
Parrino, Richard J.
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 122-130
Persistent link: https://www.econbiz.de/10011523789
Saved in:
40
SEC enforcement actions getting up close and personal
Kaplan, Matthew E.
;
Paley, Alan H.
;
Tuttle, Jonathan R.
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 131-132
Persistent link: https://www.econbiz.de/10011523795
Saved in:
41
The SEC's increased use of administrative proceedings in enforcement actions : background, controversies, and future outlook
Wolper, Alan
;
VonderHeide, Heidi
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 17-22
Persistent link: https://www.econbiz.de/10011523836
Saved in:
42
SEC issues new guidance on excluding shareholder proposals under rule 14a-8
Newell, John
;
McGivern, Arthur
;
Roberts, David
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 23-26
Persistent link: https://www.econbiz.de/10011523839
Saved in:
43
SEC's division of investment management offers new guidance on "distribution in guise" payments
Delibert, Arthur
;
Schneider, Lori
;
Clement, Megan
; …
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 27-34
Persistent link: https://www.econbiz.de/10011523848
Saved in:
44
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:
45
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:
46
SEC flexes its muscle on accounting fraud and targets more individuals
Woodcock, David
;
McKown, Joan
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 50-53
Persistent link: https://www.econbiz.de/10011523888
Saved in:
47
Whistling fast and furious : SEC and CFTC continue to issue awards
Srere, Mark
;
Mammen, Jennifer
- In:
The journal of investment compliance
17
(
2016
)
3
,
pp. 28-30
Persistent link: https://www.econbiz.de/10011623069
Saved in:
48
SEC and FDIC proposed rules on the orderly liquidation of certain large broker-dealers
Blake, Andrew
;
Robinson, Robert
;
Rovíra, Álex
; …
- In:
The journal of investment compliance
17
(
2016
)
3
,
pp. 42-48
Persistent link: https://www.econbiz.de/10011623096
Saved in:
49
SEC releases additional no-action letters on “substantial implementation” of shareholder proxy access proposals
Newell, John
;
Hu, An-Yen
;
Weber, Bradley
- In:
The journal of investment compliance
17
(
2016
)
3
,
pp. 63-66
Persistent link: https://www.econbiz.de/10011623121
Saved in:
50
New compliance guidance by SEC staff signals increased scrutiny of non-GAAP financial measures
Parrino, Richard J.
- In:
The journal of investment compliance
17
(
2016
)
4
,
pp. 23-33
Persistent link: https://www.econbiz.de/10011616392
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