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Journal of Investment Compliance logo

Publisher: Emerald Group Publishing Limited

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Volume 5, Number 2, 2004

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Investment Company Governance
pp. 16-22(7)
Authors: G. Baris, Jay; Warshall, Arielle

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Investment company director responsibilities in the wake of recent regulatory action
pp. 23-28(6)
Authors: W. Helm, Robert; C Johnson, Megan

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Principles of global fund governance
pp. 34-43(10)
Author: Meyrick Payne, C.

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The great soft dollar debate
pp. 44-52(9)
Authors: G. Tittsworth, David; I. Edelstein, Geoffrey

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A regulatory analysis of cross trading and order aggregation
pp. 53-58(6)
Author: Zordani, Jennifer

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Business continuity plans: An overview
pp. 62-64(3)
Author: L. Lavell, Joan

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Riggs order articulates bank secrecy act compliance requirements
pp. 85-86(2)
Authors: S Pilecki, Paul; A. Mancusi, Michael

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An inside look at audit committees
pp. 87-92(6)
Author: Hicks Midanek, Deborah

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How boards head off problems in their organizations
pp. 93-96(4)
Author: Peters, Jim

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Slicing the salami: small-dollar recurring fraud
pp. 138-142(5)
Author: Zweighaft, David

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What to do when the government calls
pp. 143-147(5)
Author: Kimelman, Steven

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When hindsight is 20/20: Five key questions to ask at the start of an internal investigation
pp. 148-154(7)
Authors: Codon, Dennis; K.M. Laitinen, Sari; L. Vaccaro, Karin; Todd Jones, B

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