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SEC's enforcement action against hedge fund adviser for retaliation against a whistleblower highlights challenges employers face
House, Bryan B.; Johnston, Pam L.; Worcester, Courtney - In: The journal of investment compliance 15 (2014) 4, pp. 7-10
Persistent link: https://www.econbiz.de/10010461406
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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
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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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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
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SEC proposes new compensation clawback rules
Brady, Andrew; Zaiss, Rolf; Persaud, Nyron - In: The journal of investment compliance 16 (2015) 4, pp. 43-46
Persistent link: https://www.econbiz.de/10011438479
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SEC staff issues money market fund reform frequently asked questions
Murphy, Jack; Carroll, Brenden; Cohen, Stephen; Katz, Joshua - In: The journal of investment compliance 16 (2015) 4, pp. 47-54
Persistent link: https://www.econbiz.de/10011438482
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SEC adopts regulation systems compliance and integrity
Burns, James; Bullitt, Georgia; Kramer, Howard; Habert, Jack - In: The journal of investment compliance 16 (2015) 3, pp. 4-14
Persistent link: https://www.econbiz.de/10011445940
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SEC applies whistleblower protections to confidentiality agreements
Adams, Daniel; Chunias, Jennifer; Hale, Robert; Newell, John - In: The journal of investment compliance 16 (2015) 3, pp. 19-21
Persistent link: https://www.econbiz.de/10011445960
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Has the SEC become the "Whistleblower's Advocate"?
Greer, Amy J.; Chan, Peter K. M. - In: The journal of investment compliance 16 (2015) 3, pp. 22-23
Persistent link: https://www.econbiz.de/10011445980
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SEC proposes "pay-for-performance" disclosure rule
Engvall, David H.; Hooper, Reid S.; Gumbs, Keir D.; … - In: The journal of investment compliance 16 (2015) 3, pp. 24-27
Persistent link: https://www.econbiz.de/10011446001