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Publisher: Emerald Group Publishing Limited
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The Stoneridge case ‐ much ado about nothing?
The FSA begins to "think tough" on insider dealing: but will thoughts turn to deeds?
Black, Duncan; Lercara, Angelo; Smallhoover, Joe; Huey-Burns, Paul
Freedom of information rights may result in the FSA's views about regulated firms becoming public
Conceicao, Carlos; Gray, Rosalind
Providers and distributors: responsibilities regarding retail structured products
Rouch, David; Benjamin, Joanna; Raffan, Michael; Kalderon, Mark; Orton, Simon
The changing tax environment for the UK hedge fund sector
SEC adopts Amendments to Rule 105 of Regulation M, including important exceptions for bona fide purchases and for separate accounts
Gittleman, Charles S.; Sacks, Russell D.
North American Securities Administrators Association 2007 Report of Investment Adviser Examinations
Taking the risk out of mutual fund compliance: a seven-step check list for safer, more cost-efficient mutual fund sales
Summary of selected FINRA Regulatory Notices and Disciplinary Actions
Davis, Henry A.