Subject: 332.6 - British Library Electronic Legal Deposit Catalogue-Journal Issues and Articles Search Results

Subject 332.6

1. The US department of labor's final "fiduciary" rule incorporates concessions to financial service industry but still poses key challenges. Issue 4 (7th November 2016)

Authors:: Laverierre, Kenneth J.; Behrens, Matthew H.
Journal:: Journal of investment compliance
Issue:: Volume 17:Issue 4(2016)
Page Start:: 1
Record Type:: Journal Article
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2. SEC proposes rules on adviser business continuity and transition plans. Issue 4 (7th November 2016)

Authors:: Gordon, Kay
Journal:: Journal of investment compliance
Issue:: Volume 17:Issue 4(2016)
Page Start:: 65
Record Type:: Journal Article
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3. Fincen requires financial institutions to obtain beneficial ownership information for legal entity customers. Issue 4 (7th November 2016)

Authors:: Sandoval, Ignacio; Horn, Charles; Hall, Melissa
Journal:: Journal of investment compliance
Issue:: Volume 17:Issue 4(2016)
Page Start:: 34
Record Type:: Journal Article
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4. New compliance guidance by SEC staff signals increased scrutiny of non-GAAP financial measures. Issue 4 (7th November 2016)

Authors:: Parrino, Richard J.
Journal:: Journal of investment compliance
Issue:: Volume 17:Issue 4(2016)
Page Start:: 23
Record Type:: Journal Article
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5. SEC targets broker-dealer implications of transaction-based deal fees. Issue 4 (7th November 2016)

Authors:: Daniel, Jason
Journal:: Journal of investment compliance
Issue:: Volume 17:Issue 4(2016)
Page Start:: 75
Record Type:: Journal Article
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6. Brexit: what are the options for the financial services industry?. Issue 4 (7th November 2016)

Authors:: Sahr, David; Compton, Mark; Carr, Alexandria; Wilkes, Guy; Behrens, Alexander
Journal:: Journal of investment compliance
Issue:: Volume 17:Issue 4(2016)
Page Start:: 45
Record Type:: Journal Article
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7. SEC issues guidance on business continuity planning for registered investment companies. Issue 4 (7th November 2016)

Authors:: McCarthy, Diana; Gordon, Kay
Journal:: Journal of investment compliance
Issue:: Volume 17:Issue 4(2016)
Page Start:: 71
Record Type:: Journal Article
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8. SEC publishes final rules amending the rules of practice for administrative proceedings. Issue 4 (7th November 2016)

Authors:: McKown, Joan; Klehm III, Henry; Gordon, Harold; Woodcock, David; Bradley, Daniel
Journal:: Journal of investment compliance
Issue:: Volume 17:Issue 4(2016)
Page Start:: 54
Record Type:: Journal Article
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9. Who is the "reasonable investor"?. Issue 4 (7th November 2016)

Authors:: Tuttle, Jonathan R.; Kaplan, Matthew E.; Pedersen, Benjamin R.
Journal:: Journal of investment compliance
Issue:: Volume 17:Issue 4(2016)
Page Start:: 61
Record Type:: Journal Article
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10. Help Us Embrace Sustainability by Forgoing Print. Issue 4 (1st October 2017)

Authors:: Baker, Gary
Journal:: Financial analysts journal
Issue:: Volume 73:Issue 4(2017)
Page Start:: 6
Record Type:: Journal Article
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