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The journal of investment compliance
Revue d'économie financière : revue trimestrielle de l'Association Europe finances régulations
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ECONIS (ZBW)
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Évaluer les risques et les vulnérabilités et sensibiliser les acteurs financiers au risque de changement climatique : le rôle des stress tests
Clerc, Laurent
- In:
Revue d'économie financière : revue trimestrielle de …
138
(
2020
),
pp. 227-242
Persistent link: https://www.econbiz.de/10012434465
Saved in:
2
La réglementation financière peut-elle contrer la crise de la Covid-19?
Knot, Klaas H. W.
- In:
Revue d'économie financière : revue trimestrielle de …
139/140
(
2020
),
pp. 259-267
Persistent link: https://www.econbiz.de/10012434692
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3
La conversion de la France au libéralisme financier
Castel, Michel
- In:
Revue d'économie financière : revue trimestrielle de …
137
(
2020
)
1
,
pp. 23-34
Persistent link: https://www.econbiz.de/10012440159
Saved in:
4
Quarante ans de libéralisation financière au Royaume-Uni, ou l'américanisation malheureuse d'un club de gentlemen capitalistes
Bousquet, Raphaël
;
Donnellier, Jean-Christophe
; …
- In:
Revue d'économie financière : revue trimestrielle de …
137
(
2020
)
1
,
pp. 35-48
Persistent link: https://www.econbiz.de/10012440166
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5
Ce que l'histoire économique nous enseigne sur la réglementation financière : l'exemple des États-Unis
Jeffers, Esther
;
Goldman, Sarah
- In:
Revue d'économie financière : revue trimestrielle de …
137
(
2020
)
1
,
pp. 49-64
Persistent link: https://www.econbiz.de/10012440167
Saved in:
6
Dans les pays avancés, la "libéralisation financière" n'a guère rapproché les comportements des ménages
Babeau, André
- In:
Revue d'économie financière : revue trimestrielle de …
137
(
2020
)
1
,
pp. 141-158
Persistent link: https://www.econbiz.de/10012440186
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7
Le financement externe des sociétés non financières depuis la déréglementation financière de 1984
Boutillier, Michel
;
Sicsic, Pierre
- In:
Revue d'économie financière : revue trimestrielle de …
137
(
2020
)
1
,
pp. 159-172
Persistent link: https://www.econbiz.de/10012440191
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8
Les politiques monétaires à l'épreuve de la libéralisation financière
Pollin, Jean-Paul
- In:
Revue d'économie financière : revue trimestrielle de …
137
(
2020
)
1
,
pp. 219-244
Persistent link: https://www.econbiz.de/10012484102
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9
La libéralisation des mouvements de capitaux : entre transformations structurelles, débats circulaires et cadres multilatéraux
Lepers, Étienne
- In:
Revue d'économie financière : revue trimestrielle de …
137
(
2020
)
1
,
pp. 247-268
Persistent link: https://www.econbiz.de/10012484106
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10
Libéralisation financière et déséquilibres globaux
Cartapanis, André
- In:
Revue d'économie financière : revue trimestrielle de …
137
(
2020
)
1
,
pp. 299-327
Persistent link: https://www.econbiz.de/10012484109
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11
Le choix du modèle de régulation des Fintech : entre sandbox et soundbox
Branellec, Gurvan
;
Lee, Ji-Yong
- In:
Revue d'économie financière : revue trimestrielle de …
136
(
2019
)
4
,
pp. 387-410
Persistent link: https://www.econbiz.de/10012439949
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12
La section financière du parquet de la seine : comment protéger efficacement l'épargne publique?
Ouriemmi, Oussama
;
Loison, Marie-Claire
- In:
Revue d'économie financière : revue trimestrielle de …
128
(
2017
)
4
,
pp. 255-270
Persistent link: https://www.econbiz.de/10011798450
Saved in:
13
La blockchain et l'intermédiation financière
Verdier, Marianne
- In:
Revue d'économie financière : revue trimestrielle de …
129
(
2018
)
1
,
pp. 67-87
Persistent link: https://www.econbiz.de/10011900419
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14
Régulation judiciaire et/ou administrative de la finance?
Drummond, France
- In:
Revue d'économie financière : revue trimestrielle de …
129
(
2018
)
1
,
pp. 163-176
Persistent link: https://www.econbiz.de/10011900424
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15
Practical tips for satisfying FINRA's "culture" concerns
Nathan, Daniel A.
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 8-14
Persistent link: https://www.econbiz.de/10011662040
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16
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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17
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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18
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:
19
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:
20
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:
21
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
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22
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:
23
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:
24
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:
25
2016 FINRA analysis : a record-breaking year for fines
Rubin, Brian
;
Pollet, Adam
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 1-8
Persistent link: https://www.econbiz.de/10011704583
Saved in:
26
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:
27
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:
28
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:
29
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:
30
Développement financier et fragilité financière : les deux faces d'une même médaille?
Andrianova, Svetlana
;
Demetriades, Panicos O.
- In:
Revue d'économie financière : revue trimestrielle de …
127
(
2017
)
3
,
pp. 107-119
Persistent link: https://www.econbiz.de/10011797282
Saved in:
31
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:
32
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:
33
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:
34
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:
35
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:
36
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:
37
SEC approves FINRA's rules to protect seniors from financial exploitation
Kutner, Matthew J.
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 64-66
Persistent link: https://www.econbiz.de/10011804837
Saved in:
38
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:
39
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:
40
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
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41
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:
42
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:
43
FINRA releases new guidance regarding social media and digital communications
Sacks, Russell
;
Morton, Jennifer
;
Jordan, Jenny
;
Blau, …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 40-44
Persistent link: https://www.econbiz.de/10011808476
Saved in:
44
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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45
Reforming EU securities laws : the new EU Prospectus Regulation
Fischer-Appelt, Dorothee
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 53-58
Persistent link: https://www.econbiz.de/10011808553
Saved in:
46
L' Union des marchés de capitaux : progrès réalisés et prochaines étapes
Guersent, Olivier
- In:
Revue d'économie financière : revue trimestrielle de …
125
(
2017
)
1
,
pp. 137-150
Persistent link: https://www.econbiz.de/10011717680
Saved in:
47
Les futurs financiers : de la Grande Modération au ZIRP et au-delà
Frieden, Jeffry A.
- In:
Revue d'économie financière : revue trimestrielle de …
121
(
2016
),
pp. 275-284
Persistent link: https://www.econbiz.de/10011507623
Saved in:
48
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:
49
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:
50
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
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