ISSN 1528-5812 (Print)
Publisher: Emerald Group Publishing Limited
Recent developments in hedge fund enforcement and regulation by the SEC under the leadership of Chairman Cox suggest that he may not be the free market advocate everyone once thought he was
Morgan, Nicolas; Totino, Edward; Weiner, Perrie
The Investment Advisers Act: the need for clarity in the post-Goldstein era
The investment company chief compliance officer: three years later ? an assessment of the evolution of the role of the CCO
Rosella, Michael R.; Pugliese, Domenick
Conflicts of interest chief compliance officers face in implementing compliance programs for investment funds and investment advisers
Majewski, Thomas M.
Compensating mutual fund advisers: a return to the basics of properly structured performance fees
Thomas, F. Scott; Jaye, John C.
NASD publishes initial proposal to change conflict of interest rules relating to underwriting of public offerings in the United States
Gittleman, Charles S.; Sacks, Russell D.
Updates on the corporate attorney-client privilege
Brodsky, David M.
Tackling risk-based compliance