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Publisher: Emerald Group Publishing Limited

Volume 12, Number 2, 2011

SEC releases study on the fiduciary duty of investment advisers and broker-dealers
pp. 4-7(4)
Authors: Forbes, Jessica; Gnall, Gregory P.

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Recent SEC sweep highlights the need for US investment advisers seeking business from sovereign wealth funds to develop policies for FCPA compliance
pp. 11-15(5)
Authors: Pittman, Edward L.; Krause, Cheryl A.; Bogle, Thomas C.; Danilewitz, Justin C.

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Emerging issues under interim final regulation on plan service provider fee disclosure
pp. 19-32(14)
Authors: Occhino, Lennine; Shore, Linda; Gosker, Erika

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Lower courts extend Morrison but SEC asserts Dodd-Frank Act overrules Morrison for enforcement actions
pp. 33-36(4)
Authors: Weidner, James; Lane, Christopher; Peterson, Sean

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FSA discussion paper on product intervention
pp. 72-75(4)
Authors: Gleeson, Simon; Bates, Chris; Morris, Charles

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Financial services remuneration in the UK
pp. 76-83(8)
Author: Ornstein, Dan

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