An analysis of the Regulated Investment Company Modernization Act of 2010
AbstractPurpose â The purpose of this paper is to explain the Regulated Investment Company Modernization Act of 2010, P.L. 111-325, signed into law on December 22, 2010. Design/methodology/approach...
View ArticleRecommended annual review for hedge funds and other private fund managers
AbstractPurpose â The aim of this paper is to provide hedge fund and other private fund managers with a brief recap of regulatory changes in 2010 and a reminder of certain âbest practicesâ they...
View ArticleLower courts extend Morrison but SEC asserts Dodd-Frank Act overrules...
AbstractPurpose â The purpose of this paper is to assess the effects of several lower court decisions, the enactment of the Dodd-Frank Wall Street Reform & Consumer Protection Act of July 2010,...
View ArticleEmerging issues under interim final regulation on plan service provider fee...
AbstractPurpose â The purpose of this paper is to describe interpretive and compliance issues arising under the Labor Department's interim final regulations under the statutory exemption for the...
View ArticleFINRA's all public panel option is now available in all customer cases
AbstractPurpose â The purpose of this paper is to explain the rule changes contained in the new SEC Rules 12402 and 12403, which now allow claimants to choose an arbitration panel made up entirely of...
View ArticleRecent SEC sweep highlights the need for US investment advisers seeking...
AbstractPurpose â The aim of this paper is to explain the provisions of the US Foreign Corrupt Practices Act that may be applicable to investment advisers seeking investments from foreign...
View ArticleSignificant changes to FINRA's Know Your Customer and Suitability rules to...
AbstractPurpose â The purpose of this paper is to explain two new FINRA rules: Rule 2090 (Know Your Customer) and Rule 2111 (Suitability). Design/methodology/approach â The paper explains the two...
View ArticleSEC releases study on the fiduciary duty of investment advisers and...
AbstractPurpose â The purpose of this paper is to explain a study released by the Securities and Exchange Commission on January 21, 2011, the âFiduciary Study,â concerning legal and regulatory...
View ArticleQ&A: Front Running and Fair Pricing
What is the relation, if any, between the practice of "front running" trades and the efficient market hypothesis?(Read the full entry)
View ArticleCSR didnât fall in love with social networks http://ping.fm/kfy7G
CSR didnât fall in love with social networks http://ping.fm/kfy7G
View ArticleShaping The Waves: A History Of Entreprenuership At Harvard Business School:...
Shaping The Waves: A History Of Entreprenuership At Harvard Business School: http://amzn.to/jm64sd
View ArticleCEU International Business School: A CEU Business School a regio egyik...
CEU International Business School: A CEU Business School a regio egyik legnagyobb es legelismertebb inteze... http://tinyurl.com/6fvokbm
View ArticleThe Business School Buzz Book, 2009: http://amzn.to/kQas9J
The Business School Buzz Book, 2009: http://amzn.to/kQas9J
View ArticleRT @NUBizSchool: Read our business school magazine at http://t.co/qAjoqBF...
RT @NUBizSchool: Read our business school magazine at http://t.co/qAjoqBF #nefollowers #NUBSalumni
View ArticleRT @ricemba: Social media hot recruiting tool. http://ow.ly/5oe11...
RT @ricemba: Social media hot recruiting tool. http://ow.ly/5oe11 #socialrecruitment
View ArticleCIMA qualification time cut with launch of fully sponsored degree: Nottingham...
CIMA qualification time cut with launch of fully sponsored degree: Nottingham Business School has launc... http://bit.ly/kRImZC #NTUNews
View ArticleSuch maturity, Richmond business school http://instagr.am/p/GSXne/
Such maturity, Richmond business school http://instagr.am/p/GSXne/
View ArticleRT @rkhodeir: Today's session is about "Strategy Implementation" (@...
RT @rkhodeir: Today's session is about "Strategy Implementation" (@ ESLSCA Business School (Finney Campus)) http://4sq.com/lNSI57
View ArticleCongrats to @AstonUniversity Business School class of 2011! End of an era!...
Congrats to @AstonUniversity Business School class of 2011! End of an era! #resultsday
View ArticleJust had 1st lecture of 1st unit in my Grad Cert of Social Impact @ Melbourne...
Just had 1st lecture of 1st unit in my Grad Cert of Social Impact @ Melbourne Business School... very cool we're looking at social entrepreâ¦
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