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Broken bucks : money funds that took taxpayer guarantees in 2008
Wilson, Linus - In: The journal of asset management 21 (2020) 5, pp. 375-392
Persistent link: https://www.econbiz.de/10012292815
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Towards a macroprudential regulatory framework for mutual funds?
Argyropoulos, Christos; Candelon, Bertrand; Hasse, … - In: International journal of finance & economics : IJFE 29 (2024) 3, pp. 3063-3082
Persistent link: https://www.econbiz.de/10014635288
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SEC targets broker-dealer implications of transaction-based deal fees
Daniel, Jason - In: The journal of investment compliance 17 (2016) 4, pp. 75-76
Persistent link: https://www.econbiz.de/10011616461
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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
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A game theory model of regulatory response to insider trading
Smales, L. A.; Thul, Matthius - In: Applied economics letters 24 (2017) 7/9, pp. 448-455
Persistent link: https://www.econbiz.de/10011711146
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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
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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
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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
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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
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Expense allocation : the SEC brings down the hammer
Berman, Kenneth; Larkin, Gregory; Giglio, Phil V.; … - In: The journal of investment compliance 16 (2015) 1, pp. 66-68
Persistent link: https://www.econbiz.de/10011344548