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Journal of Investment Compliance

中文名称：投资合规杂志

ISSN：1528-5812
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发文量：156

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1.Who is listening? The SEC emphasizes importance of cybersecurity disclosure

机译：谁在听？ SEC强调网络安全披露的重要性
- 作者：Cynthia M. Krus
- 期刊名称：《Journal of Investment Compliance》 | 2012年第1期
- Securities and Exchange Commission;
- Disclosure obligations;
- Cybersecurity;
- Regulation;
- United States of America.;
2.SEC whistleblower bounties: ten things companies can do right now to stay ahead

机译：SEC举报人赏金：公司现在可以做十件事以保持领先地位
- 作者：William R. McLucas;Laura S. Wertheimer;Andrea J. RobinsonMary Jo Johnson
- 期刊名称：《Journal of Investment Compliance》 | 2012年第1期
- Securities and Exchange Commission;
- Whistleblowers;
- Regulation;
- Financial services;
- United States of America.;
3.Tax consequences for investors in fraudulent enterprises – update

机译：欺诈企业投资者的税收后果–更新
- 作者：Roger D. Lorence
- 期刊名称：《Journal of Investment Compliance》 | 2012年第1期
- Investors;
- Fraud;
- Safe harbours;
- Taxes;
- Tax allowances.;
4.Islamic finance: what concrete steps is Italy taking?

机译：伊斯兰金融：意大利正在采取哪些具体步骤？
- 作者：Gabriella Opromolla
- 期刊名称：《Journal of Investment Compliance》 | 2012年第1期
- Islam;
- Finance;
- Banking;
- Regulation;
- Italy.;
5.Selected FINRA notices and disciplinary actions, October-December 2011

机译：FINRA精选通知和纪律处分，2011年10月至12月
- 作者：Henry A. Davis
- 期刊名称：《Journal of Investment Compliance》 | 2012年第1期
6.Competitive forces and cost-based analysis in SEC review of SRO market data fee filings: NetCoalition v. Securities and Exchange Commission

机译：美国证券交易委员会（SEC）对SRO市场数据费用备案的审查中的竞争力和基于成本的分析：NetCoalition诉美国证券交易委员会
- 作者：Edward J. Ferraro
- 期刊名称：《Journal of Investment Compliance》 | 2011年第1期
- Coalitions;
- Circuits;
- Market position;
- Information.;
7.Corporate ownership interests hidden through cash-settled equity derivatives: impact on the companies' governance under the Italian legal framework

机译：通过现金结算的股票衍生品隐藏的公司所有权权益：对意大利法律框架下公司治理的影响
- 作者：Gabriella Opromolla
- 期刊名称：《Journal of Investment Compliance》 | 2011年第1期
- Equity capital;
- Corporate ownership;
- Italy.;
8.Commodities tax compliance challenges: Dodd-Frank and beyond

机译：商品税收合规挑战：多德-弗兰克及其他
- 作者：Roger D. Lorence
- 期刊名称：《Journal of Investment Compliance》 | 2011年第1期
- Commodity markets;
- Taxes.;
9.Summary of selected FINRA Regulatory Notices October-December 2010

机译：选定的FINRA监管公告摘要（2010年10月至12月）
- 作者：Henry A. Davis
- 期刊名称：《Journal of Investment Compliance》 | 2011年第1期
- Regulation;
- Financial markets;
- Securities markets;
- United States of America.;
10.Recommended annual review for hedge funds and other private fund managers

机译：建议对冲基金和其他私募基金经理进行年度审查
- 作者：Thomas M. Schiera
- 期刊名称：《Journal of Investment Compliance》 | 2011年第2期
- Hedging;
- Investment funds;
- Legal advice;
- Financial markets.;
11.An analysis of the Regulated Investment Company Modernization Act of 2010

机译：《 2010年受管制投资公司现代化法案》的分析
- 作者：Richard M. Hervey
- 期刊名称：《Journal of Investment Compliance》 | 2011年第2期
- Financial advice;
- Investments.;
12.Summary of selected FINRA regulatory notices, January-February 2011

机译：精选FINRA监管公告摘要，2011年1月至2月
- 作者：Henry A. Davis
- 期刊名称：《Journal of Investment Compliance》 | 2011年第2期
- Regulation;
- Financial markets;
- Securities markets;
- United States of America.;
13.Plug and play brokerage: the new model of the high-service open architecture broker-dealer

机译：即插即用经纪：高服务开放架构经纪交易的新模式
- 作者：Robert Norman Sobol
- 期刊名称：《Journal of Investment Compliance》 | 2011年第2期
- Financial services;
- Investments.;
14.Financial services remuneration in the UK

机译：英国的金融服务薪酬
- 作者：Dan Ornstein
- 期刊名称：《Journal of Investment Compliance》 | 2011年第2期
- Financial services;
- Remuneration;
- United Kingdom.;
15.FINRA's all public panel option is now available in all customer cases

机译：FINRA的所有公共面板选项现在可在所有客户案例中使用
- 作者：Bryan M. Ward
- 期刊名称：《Journal of Investment Compliance》 | 2011年第2期
- Financial services;
- Arbitration.;
16.Summary of selected FINRA regulatory notices, March-May 2011

机译：精选FINRA监管公告摘要，2011年3月至5月
- 作者：Henry A. Davis
- 期刊名称：《Journal of Investment Compliance》 | 2011年第3期
- Regulation;
- Financial markets;
- Securities markets;
- United States of America.;
17.The role of money laundering reporting officers in combating money laundering in Zambia

机译：洗钱报告官员在打击赞比亚洗钱方面的作用
- 作者：Musonda Simwayi;Guohua Wang
- 期刊名称：《Journal of Investment Compliance》 | 2011年第3期
- Money laundering;
- Commercial banks;
- Zambia.;
18.New form ADV Part 2: post-filing post-mortem and more fun with Part 1

机译：新表格ADV第2部分：提交后验尸，第1部分带来更多乐趣
- 作者：Lorna A. Schnase
- 期刊名称：《Journal of Investment Compliance》 | 2011年第3期
- Investments;
- Form ADV;
- Firm Brochure;
- Supplement;
- Disclosure.;
19.Recent regulatory actions focused on policies and procedures designed to safeguard material, non-public information

机译：最近的监管措施侧重于旨在保护重大非公开信息的政策和程序
- 作者：Jason Lane
- 期刊名称：《Journal of Investment Compliance》 | 2011年第4期
- Securities regulation;
- Broker-dealers;
- Investment advisers;
- Investments;
- Advisory services;
- Information disclosure;
- Regulation;
- United States of America.;
20.Shareholder access litigation and beyond

机译：股东访问诉讼及其他
- 作者：David B.H. Martin;Keir D. Gumbs
- 期刊名称：《Journal of Investment Compliance》 | 2011年第4期
- Securities regulation;
- Corporate governance;
- Shareholder access;
- Litigation;
- United States of America.;
21.The Supreme Court's Janus decision: no secondary liability, but many secondary questions

机译：最高法院的Janus判决：没有次要责任，但有许多次要问题
- 作者：Arthur Delibert;Gregory Wright
- 期刊名称：《Journal of Investment Compliance》 | 2011年第4期
- Investment advisers;
- Hedge funds;
- Mutual funds;
- Securities Exchange Act of 1934;
- Securities regulation;
- Investments;
- Advisory services;
- Hedging;
- Regulation;
- United States of America.;
22.Selected FINRA notices and disciplinary actions, July-August 2011

机译：FINRA精选通知和纪律处分，2011年7月至8月
- 作者：Henry A. Davis
- 期刊名称：《Journal of Investment Compliance》 | 2011年第4期
- Regulation;
- Financial markets;
- Securities markets;
- United States of America;
- Credit default swaps;
- Securities trading;
- Broker-dealers;
- Record-keeping;
- Social media.;
23.Round two of FATCA Guidance: Notice 2011-34: what's new and what remains on the wish list for non-US investment funds

机译：FATCA指南的第二轮：2011-34号公告：非美国投资基金的新变化和遗留事项
- 作者：Adrienne M. Baker
- 期刊名称：《Journal of Investment Compliance》 | 2011年第4期
- Tax;
- Investment funds;
- Foreign accounts;
- International investments;
- Regulation;
- United States of America.;
24.Proposed national market system changes aim to lighten dark pools

机译：拟议的国家市场体系变更旨在减轻黑池
- 作者：Andre E. Owens;Soo J. Yim;Beth A. Stekler;Cristie L. March
- 期刊名称：《Journal of Investment Compliance》 | 2010年第1期
- Liquidity;
- Regulation;
- United States of America;
25.What is the consequence of the missing compliance function at hedge funds? Fraud is! Analysis, lessons and solutions

机译：对冲基金缺少合规职能的后果是什么？欺诈是！分析，课程和解决方案
- 作者：Majed R. Muhtaseb
- 期刊名称：《Journal of Investment Compliance》 | 2010年第1期
- Fraud;
- Hedging;
- Information strategy;
- United States of America;
26.A Stern look at hedge fund risk

机译：严峻看对冲基金风险
- 作者：Jeremy Kosky;Simon James;Helen Carty
- 期刊名称：《Journal of Investment Compliance》 | 2010年第1期
- England;
- Hedging;
- Liability;
- Risk assessment;
27.Foreign IPOS by Russian issuers: new rules

机译：俄罗斯发行人的外国IPOS：新规定
- 作者：Alan Kartashkin;Maxim Kuleshov;Yulia Sazykina
- 期刊名称：《Journal of Investment Compliance》 | 2010年第1期
- Financial services;
- Regulation;
- Russia;
- Securities;
28.SEC holds roundtable on securities lending/short selling

机译：SEC举行证券借贷/卖空圆桌会议
- 作者：Kevin J. Campion;Arik Hirschfeld
- 期刊名称：《Journal of Investment Compliance》 | 2010年第1期
- Loans;
- Securities;
- Securities markets;
- Selling;
- United States of America;
29.SFC consults on proposals to enhance protection for the investing public

机译：证监会就加强对投资公众的保护的建议进行咨询
- 作者：Martin Rogers;Mark Shipman;James Walker;Paget Dare Bryan;Charlotte Robins
- 期刊名称：《Journal of Investment Compliance》 | 2010年第1期
- Asset protection;
- Hong Kong;
- Investments;
- Regulation;
- Securities;
30.Summary of selected FINRA regulatory notices and disciplinary actions September-November 2009

机译：选定的FINRA监管公告和纪律处分的摘要（2009年9月至11月）
- 作者：Henry A. Davis
- 期刊名称：《Journal of Investment Compliance》 | 2010年第1期
- Financial markets;
- Regulation;
- Securities markets;
- United States of America;
31.Trademark registration can provide financial services companies with valuable benefits

机译：商标注册可以为金融服务公司提供宝贵的利益
- 作者：Beth H. Alter
- 期刊名称：《Journal of Investment Compliance》 | 2010年第1期
- Financial benefits;
- Financial services;
- Trade marks;
32.Summary of selected FINRA regulatory notices January-March 2010

机译：精选FINRA监管公告摘要（2010年1月至3月）
- 作者：Henry A. Davis
- 期刊名称：《Journal of Investment Compliance》 | 2010年第2期
- Regulation;
- Financial markets;
- Securities markets;
- United States of America.;
33.SEC provides details on amendments to money market fund rules

机译：SEC提供有关货币市场基金规则修正案的详细信息
- 作者：John Hunt
- 期刊名称：《Journal of Investment Compliance》 | 2010年第2期
- Securities markets;
- United States of America;
- Laws and legislation.;
34.The new UK Financial Services Act 2010 makes significant reform; if trumped by recently elected coalition government proposals for a new regulatory structure

机译：新的《 2010年英国金融服务法》进行了重大改革。如果被新当选的联合政府提议的新监管结构击败
- 作者：William Yonge
- 期刊名称：《Journal of Investment Compliance》 | 2010年第3期
- Financial Services Act;
- Economic reform;
- United Kingdom.;
35.SEC adopts amendments to regulation SHO

机译：SEC通过了关于SHO的修订
- 作者：Jessica Forbes;Gregory P. GnallChristine M. Lombardo
- 期刊名称：《Journal of Investment Compliance》 | 2010年第3期
- Securities;
- Trade;
- Regulation;
- United States of America.;
36.What does Merck & Co. v. Reynolds mean for the future of the statute of limitations defense in securities fraud litigation?

机译：默克公司（Merck＆Co.）诉雷诺（Reynolds）案对证券欺诈诉讼中的时效抗辩法的未来意味着什么？
- 作者：Andrew B. Weissman;Andrea J. Robinson;Christopher Davies;John A. Valentin
- 期刊名称：《Journal of Investment Compliance》 | 2010年第3期
- Securities;
- Fraud;
- Litigation;
- United States of America.;
37.Summary of selected FINRA regulatory notices April-June 2010

机译：选定的FINRA监管公告摘要（2010年4月至6月）
- 作者：Henry A. Davis
- 期刊名称：《Journal of Investment Compliance》 | 2010年第3期
- Regulation;
- Financial markets;
- Securities markets;
- United States of America.;
38.In Rule 12b-1 overhaul, SEC proposes dramatic changes to mutual fund distribution arrangements

机译：在规则12b-1的大修中，SEC提议对共同基金分配安排进行重大修改
- 作者：Nathan J. Greene
- 期刊名称：《Journal of Investment Compliance》 | 2010年第4期
- Financial services;
- Regulation;
- Legislation;
- Unit trusts.;
39.Summary of selected FINRA Regulatory notices July-September 2010

机译：精选FINRA监管公告摘要（2010年7月至9月）
- 作者：Henry A. Davis
- 期刊名称：《Journal of Investment Compliance》 | 2010年第4期
- Regulation;
- Financial markets;
- Securities markets;
- United States of America.;
40.ERISA for securities professionals: 2008 update

机译：针对证券专业人士的ERISA：2008年更新
- 作者：Richard K. Matta
- 期刊名称：《Journal of Investment Compliance》 | 2009年第1期
- Benefits;
- Financial services;
- Pensions;
- Retirement;
41.Summary of selected FINRA regulatory notices, September-November 2008

机译：选定的FINRA监管公告摘要，2008年9月至11月
- 作者：Henry A. Davis
- 期刊名称：《Journal of Investment Compliance》 | 2009年第1期
- Financial markets;
- Regulation;
- Securities markets;
- United States of America;
42.Short sale update: SEC extends emergency actions through extraordinary rulemaking; US short selling ban expires

机译：卖空更新：SEC通过非常规规则制定扩展了紧急行动；美国卖空禁令到期
- 作者：Russell D. Sacks
- 期刊名称：《Journal of Investment Compliance》 | 2009年第1期
- Financial markets;
- Regulation;
- Securities;
43.Summary prospectus may cause many to re-consider e-delivery and consent strategies

机译：摘要招股说明书可能会导致许多人重新考虑电子交付和同意策略
- 作者：Len Driscoll
- 期刊名称：《Journal of Investment Compliance》 | 2009年第1期
- Disclosure;
- Electronic document delivery;
- Prospectuses;
44.Compliance with Sarbanes-Oxley and do not call regulations is interdependent when telemarketing is a core part of a sales strategy

机译：当电话销售是销售策略的核心部分时，遵守萨班斯-奥克斯利法案和不致电法规是相互依赖的
- 作者：Lisette Ruch
- 期刊名称：《Journal of Investment Compliance》 | 2009年第1期
- Regulation;
- Telephone selling;
- United States of America;
45.SEC amends disclosure and reporting

机译：SEC修改披露和报告
- 作者：Richard J. Parrino;Miyun Sung
- 期刊名称：《Journal of Investment Compliance》 | 2009年第1期
- Corporate governance;
- Disclosure;
- Financial reporting;
46.What the government's expanded investigations of market manipulation may mean (and what you should do before and after the subpoena arrives)

机译：政府扩大对市场操纵的调查可能意味着什么（以及传票到来之前和之后您应该做什么）
- 作者：Gary J. Mennitt;Paul Huey-Burns;Robert J. Jossen
- 期刊名称：《Journal of Investment Compliance》 | 2009年第1期
- Financial institutions;
- Financial markets;
- Litigation;
47.As fraud schemes proliferate – are you the next investor to crash and burn?

机译：随着欺诈计划的泛滥-您是下一个崩溃并烧死的投资者吗？
- 作者：Ken Evola;Nicole OGrady
- 期刊名称：《Journal of Investment Compliance》 | 2009年第2期
- Fraud;
- Investors;
48.Group of Thirty issues road-map for financial reforms

机译：三十国集团发布金融改革路线图
- 作者：Daniel F.C. Crowley;Bruce J. Heiman;R. Charles Miller;Philip J. Morgan;Mark D. Perlow;David K.Y. Tang;Karishma Shah Page
- 期刊名称：《Journal of Investment Compliance》 | 2009年第2期
- Finance;
- Financial restructuring;
49.President's working group on financial markets: best practices for the hedge fund industry

机译：总统金融市场工作组：对冲基金行业的最佳做法
- 作者：Richard A. Goldman;Robert C. Leonard;Matthew Anderson Gray;Steven G. Vecchio
- 期刊名称：《Journal of Investment Compliance》 | 2009年第2期
- Finance;
- Fund management;
- Investments;
- Investors;
50.Internal control reporting regulation: a law and economics perspective

机译：内部控制报告规定：法律和经济学的观点
- 作者：Matthew A. Zolnor
- 期刊名称：《Journal of Investment Compliance》 | 2009年第2期
- Economics;
- Internal control;
- Investors;
- Law;
51.Summary of selected FINRA regulatory notices and disciplinary actions, January-March 2009

机译：选定的FINRA监管公告和纪律处分摘要，2009年1月至3月
- 作者：Henry A. Davis
- 期刊名称：《Journal of Investment Compliance》 | 2009年第2期
- Fraud;
- Investors;
52.Facing the financial crisis: Bank of Italy's implementing regulation on hedge funds

机译：面对金融危机：意大利银行对冲基金实施条例
- 作者：Gabriella Opromolla
- 期刊名称：《Journal of Investment Compliance》 | 2009年第2期
- Banks;
- Fund management;
- Italy;
53.Litigating disciplinary proceedings against the SEC and FINRA: it sometimes pays

机译：针对SEC和FINRA的诉讼纪律程序：有时需要支付
- 作者：Brian L. Rubin;Christian J. Cannon
- 期刊名称：《Journal of Investment Compliance》 | 2009年第2期
- Financial institutions;
- Financial management;
- Litigation;
54.Hedge fund information depository: a case study of a pre-emptive solution to fund manager fraud

机译：对冲基金信息存储库：针对基金经理欺诈的先发制人解决方案的案例研究
- 作者：Majed R. Muhtaseb
- 期刊名称：《Journal of Investment Compliance》 | 2009年第2期
- Fraud;
- Fund management;
55.Tax consequences for investors in hedge fund frauds

机译：对冲基金欺诈行为给投资者带来的税收后果
- 作者：Roger D. Lorence
- 期刊名称：《Journal of Investment Compliance》 | 2009年第2期
- Fraud;
- Investors;
- Taxes;
56.SEC permits mutual funds to use a summary prospectus and updates statutory prospectus requirements

机译：SEC允许共同基金使用摘要招股说明书并更新法定招股说明书要求
- 作者：Robert A. Robertson;Joseph P. Kelly II
- 期刊名称：《Journal of Investment Compliance》 | 2009年第2期
- Prospectuses;
- Unit trusts;
57.Under the microscope: valuation and hedge funds

机译：在显微镜下：估值和对冲基金
- 作者：Benjamin J. Haskin;Joseph G. Davis;Jocelyn C. Flynn
- 期刊名称：《Journal of Investment Compliance》 | 2009年第3期
- Assets valuation;
- Fair value;
- Fraud;
- Hedging;
- Investment funds;
- Securities;
58.Fraud Enforcement and Recovery Act of 2009: Congress amends money laundering and criminal fraud statutes to expand their scope and penalties

机译：2009年《欺诈执行与恢复法案》：国会修订了洗钱和刑事欺诈法规，以扩大其范围和处罚
- 作者：Howard W. Goldstein
- 期刊名称：《Journal of Investment Compliance》 | 2009年第3期
- Fraud;
- Money laundering;
- United States of America;
59.Summary of selected FINRA Regulatory Notices, April-June 2009

机译：选定的FINRA监管公告摘要，2009年4月至6月
- 作者：Henry A. Davis
- 期刊名称：《Journal of Investment Compliance》 | 2009年第3期
- Financial markets;
- Regulation;
- Securities markets;
- United States of America;
60.Amendments to the Capital Requirements Directive adopted by European Parliament

机译：欧洲议会通过的《资本要求指令》修正案
- 作者：Kevin Hawken;Miles Bake
- 期刊名称：《Journal of Investment Compliance》 | 2009年第3期
- Capital;
- Disclosure;
- European directives;
61.New CfD disclosure regime comes into force on June 1, 2009

机译：新的CfD披露制度于2009年6月1日生效
- 作者：Chris Bates;Carlos Conceicao;Mark Poulton;David Pudge
- 期刊名称：《Journal of Investment Compliance》 | 2009年第3期
- Disclosure;
- Financial instruments;
- United Kingdom;
62.OTC derivatives: proposed legislative and regulatory efforts to impose a more rigid regulatory structure

机译：场外衍生品：拟议的立法和监管措施，以施加更严格的监管结构
- 作者：Joel Telpner;Jamila Piracci
- 期刊名称：《Journal of Investment Compliance》 | 2009年第3期
- Derivative markets;
- Financial services;
- Legislation;
- Regulation;
63.EU proposes directive on alternative investment fund managers

机译：欧盟提出关于另类投资基金管理人的指令
- 作者：Peter Bibby;Helen Marshall;Christopher Leonard
- 期刊名称：《Journal of Investment Compliance》 | 2009年第3期
- European Union;
- Investment funds;
- Regulation;
64.SEC proposes investment adviser custody rule amendments to enhance safekeeping and oversight of client assets

机译：SEC提议修订投资顾问托管规则，以加强对客户资产的保管和监督
- 作者：Lauren Blumenthal Kleiman
- 期刊名称：《Journal of Investment Compliance》 | 2009年第3期
- Assets management;
- Fraud;
- Investments;
65.Financial services firms face increased pressures on anti-corruption compliance

机译：金融服务公司在反腐败合规方面面临越来越大的压力
- 作者：Matt T. Morley;Jeffrey B. Maletta;Michael J. King;Robert V. Hadley;Matthew J. Fader;Brian F. Saulnier
- 期刊名称：《Journal of Investment Compliance》 | 2009年第3期
- Corruption;
- Financial services;
- Liability;
66.Short sale developments: “close-out” requirement made permanent and additional regulatory initiatives expected from the Securities and Exchange Commission

机译：卖空发展：“平仓”要求已成为永久性措施，并有望获得证券交易委员会的其他监管措施
- 作者：Soo J. Yim;Timothy F. Silva;Stephanie Nicolas;Tiffany J. Smith
- 期刊名称：《Journal of Investment Compliance》 | 2009年第4期
- Laws and legislation;
- Regulation;
- Securities;
- United States of America;
67.Implementing the new summary prospectus rule: done right it will save both time and money; done wrong and look out for the bottom line

机译：实施新的摘要招股章程规则：正确执行将节省时间和金钱；做错了，寻找底线
- 作者：Jeff Levering
- 期刊名称：《Journal of Investment Compliance》 | 2009年第4期
- Cost effectiveness;
- Print media;
- Prospectuses;
68.Regulating credit default swaps as insurance: a law and economics perspective

机译：监管信用违约掉期作为保险：法律和经济学的观点
- 作者：Matthew A. Zolnor
- 期刊名称：《Journal of Investment Compliance》 | 2009年第4期
- Credit control;
- Financial instruments;
- Insurance;
- United States of America;
69.The regulation of private placements in France

机译：法国对私募的监管
- 作者：Eric Cafritz;Olivier Genicot;Benoit Ternon
- 期刊名称：《Journal of Investment Compliance》 | 2009年第4期
- Financial markets;
- France;
- Laws and legislation;
70.Court holds that adviser recommending that its clients invest in Bayou Funds, which turned out to be Ponzi schemes, is not liable for violating Federal Securities Antifraud Statute

机译：法院认为，顾问建议其客户投资被证明是庞氏骗局的Bayou基金，对违反联邦证券反欺诈法规不承担责任。
- 作者：Thomas Cauley;Scott Rauscher
- 期刊名称：《Journal of Investment Compliance》 | 2009年第4期
- Fraud;
- Investments;
- Laws and legislation;
- United States of America;
71.Robert Khuzami speaks: on his first 100 days as division director, and the future of the enforcement division

机译：罗伯特·库扎米（Robert Khuzami）讲话：在担任部门主管的头100天，以及执法部门的未来
- 作者：Nader H. Salehi;Gerald J. Russello;Vincent Hull
- 期刊名称：《Journal of Investment Compliance》 | 2009年第4期
- Laws and legislation;
- Organizational restructuring;
- Securities;
- United States of America;
72.The outplacement of placement agents? SEC proposes new “pay-to-play” rules

机译：安置代理人的安置？ SEC提出新的“按使用付费”规则
- 作者：Steven W. Rabitz;Marissa J. Holob
- 期刊名称：《Journal of Investment Compliance》 | 2009年第4期
- Financial institutions;
- Investments;
- Laws and legislation;
73.Joint DOL and SEC hearing on target-date funds

机译：DOL和SEC联合听证目标日期的资金
- 作者：Susan M. Camillo;Robert A. Robertson;Kathleen Ziga;Karl J. Paulson Egbert;Alpa Patel
- 期刊名称：《Journal of Investment Compliance》 | 2009年第4期
- Investment funds;
- Law and legislation;
- Pension funds;
- United States of America;
74.Conversations at the top: the tone of the independent chief compliance officer

机译：最上方的对话：独立首席合规官的语气
- 作者：Rob Sobol
- 期刊名称：《Journal of Investment Compliance》 | 2009年第4期
- Communication;
- Investment funds;
- Investments;
- Managers;
75.Reporting tax return positions inconsistent with IRS authority – between “a rock and a hard place”

机译：报告与IRS权限不一致的报税表头寸–在“困难重重”之间
- 作者：Roger D. Lorence;Steven M. Etkind
- 期刊名称：《Journal of Investment Compliance》 | 2009年第4期
- Penalty costs;
- Tax returns;
- Taxes;
76.Summary of selected FINRA regulatory notices and disciplinary actions July-August 2009

机译：选定的FINRA监管公告和纪律处分的摘要2009年7月至8月
- 作者：Henry A. Davis
- 期刊名称：《Journal of Investment Compliance》 | 2009年第4期
- Financial markets;
- Regulation;
- Securities markets;
- United States of America;
77.Short-selling: progress on international harmonization and forthcoming changes in the UK

机译：卖空：英国在国际协调方面的进展和即将发生的变化
- 作者：Leonard Ng;Tom Hunter
- 期刊名称：《Journal of Investment Compliance》 | 2009年第4期
- European legislation;
- Regulation;
- Securities;
- United Kingdom;
78.FSA publishes final Code of Practice on policies relating to remuneration of personnel at FSA regulated firms: financial services alert

机译：FSA发布了有关FSA监管公司人员薪酬政策的最终业务守则：金融服务警报
- 作者：Philip J. Morgan;Neil Nick Robson
- 期刊名称：《Journal of Investment Compliance》 | 2009年第4期
- Financial services;
- Remuneration;
79.The changing tax environment for the UK hedge fund sector

机译：英国对冲基金行业不断变化的税收环境
- 作者：Dana Ward
- 期刊名称：《Journal of Investment Compliance》 | 2008年第1期
- Financial management;
- Investments;
- Off shore investments;
- Taxation;
- United Kingdom;
80.Providers and distributors: responsibilities regarding retail structured products

机译：提供者和发行者：有关零售结构化产品的责任
- 作者：David Rouch;Joanna Benjamin;Michael Raffan;Mark Kalderon;Simon Orton
- 期刊名称：《Journal of Investment Compliance》 | 2008年第1期
- Financial institutions;
- Financial services;
- Laws and legislation;
- United Kingdom;
81.Summary of selected FINRA Regulatory Notices and Disciplinary Actions

机译：选定的FINRA监管通告和纪律处分摘要
- 作者：Henry A. Davis
- 期刊名称：《Journal of Investment Compliance》 | 2008年第1期
- Financial markets;
- Regulation;
- Securities markets;
- United States of America;
82.SEC adopts Amendments to Rule 105 of Regulation M, including important exceptions for bona fide purchases and for separate accounts

机译：SEC通过了M条规则105的修正案，包括善意购买和单独账户的重要例外
- 作者：Charles S. Gittleman;Russell D. Sacks
- 期刊名称：《Journal of Investment Compliance》 | 2008年第1期
- Laws and legislation;
- Securities markets;
- United States of America;
83.North American Securities Administrators Association 2007 Report of Investment Adviser Examinations

机译：北美证券管理人协会2007年投资顾问考试报告
- 期刊名称：《Journal of Investment Compliance》 | 2008年第1期
- Examinations;
- Financial services;
- North America;
- Professional qualifications;
- Securities markets;
84.The FSA begins to “think tough” on insider dealing: but will thoughts turn to deeds?

机译：FSA开始对内幕交易“强硬”：但是想法会变成事实吗？
- 作者：Duncan Black;Angelo Lercara;Joe Smallhoover;Paul Huey-Burns
- 期刊名称：《Journal of Investment Compliance》 | 2008年第1期
- Financial services;
- Insider trading;
- Law enforcement;
- Laws and legislation;
- United Kingdom;
85.Freedom of information rights may result in the FSA's views about regulated firms becoming public

机译：信息自由可能导致FSA对受监管公司公开的观点
- 作者：Carlos Conceicao;Rosalind Gray
- 期刊名称：《Journal of Investment Compliance》 | 2008年第1期
- Financial services;
- Freedom of information;
- United Kingdom;
86.Taking the risk out of mutual fund compliance: a seven-step check list for safer, more cost-efficient mutual fund sales

机译：消除共同基金合规性带来的风险：七步检查清单，以确保更安全，更具成本效益的共同基金销售
- 作者：Jeff Levering
- 期刊名称：《Journal of Investment Compliance》 | 2008年第1期
- Data management;
- Financial markets;
- Financial services;
- Funds statements;
- Risk management;
- United States of America;
87.Recommended annual review for hedge funds and other private fund managers

机译：建议对冲基金和其他私募基金经理进行年度审查
- 作者：Steven M. Giordano;Richard A. Goldman;Robert G. Leonard;Michael F. Mavrides
- 期刊名称：《Journal of Investment Compliance》 | 2008年第2期
- Financial management;
- Hedging;
- Private finance;
- Unit trusts;
88.The development of US regulation of broker-dealer research

机译：美国经纪交易研究法规的发展
- 作者：Charles S. Gittleman;Russell D. Sacks
- 期刊名称：《Journal of Investment Compliance》 | 2008年第2期
- Regulation;
- Securities markets;
- United States of America;
89.When do breakpoints give mutual fund investors a break?

机译：断点何时能使共同基金投资者休息一下？
- 作者：Faten Sabry;Winai Wongsurawat
- 期刊名称：《Journal of Investment Compliance》 | 2008年第2期
- Advisory services;
- Auditor's fees;
- Unit trusts;
90.Navigating the evolving regulatory maze: compliance management in a changing world

机译：应对不断发展的监管迷宫：瞬息万变的世界中的合规性管理
- 作者：Brian Fahey;Marc Rinaldi
- 期刊名称：《Journal of Investment Compliance》 | 2008年第2期
- Compliance costs;
- Financial management;
- Regulation;
- Risk management;
91.Summary of selected FINRA Regulatory Notices and Disciplinary Actions: January-March 2008

机译：选定的FINRA监管公告和纪律处分摘要：2008年1月至3月
- 作者：Henry A. Davis
- 期刊名称：《Journal of Investment Compliance》 | 2008年第2期
- Financial markets;
- Regulation;
92.The Summary Prospectus: the most significant change to mutual fund disclosure since the Investment Company Act of 1940

机译：章程摘要：自1940年《投资公司法》以来，共同基金披露的最重大变化
- 作者：Len Driscoll
- 期刊名称：《Journal of Investment Compliance》 | 2008年第2期
- Disclosure;
- Regulation;
- Unit trusts;
- United States of America;
93.The new Italian Banking Regulation concerning banks' organization and corporate governance

机译：关于银行组织和公司治理的新意大利《银行业条例》
- 作者：Gabriella Opromolla
- 期刊名称：《Journal of Investment Compliance》 | 2008年第2期
- Banking;
- Corporate governance;
- Italy;
- Regulation;
94.SEC proposes enhancements to Regulation S-P

机译：SEC提议加强S-P法规
- 作者：Hardy Callcott;Gail Marshall-Smith
- 期刊名称：《Journal of Investment Compliance》 | 2008年第2期
- Financial information;
- Regulation;
- Securities;
- United States of America;
95.SEC approves FINRA rule governing sales practices of deferred variable annuities

机译：SEC批准了FINRA规则来管理递延可变年金的销售惯例
- 作者：Jeffrey S. Puretz;Anthony H. Zacharski;Alan Rosenblat;Alison C. Ryan
- 期刊名称：《Journal of Investment Compliance》 | 2008年第2期
- Financial markets;
- Investment funds;
- Purchasing;
- Regulation;
- Sales;
- United States of America;
96.SEC shortens Rule 144 holding periods and loosens restrictions on resales of privately placed securities

机译：SEC缩短了规则144的持有期限，并放宽了对私募证券转售的限制
- 作者：Valerie Ford Jacob;Daniel J. Bursky;Stuart H. Gelfond;Michael A. Levitt;Paul D. Tropp;Vasiliki B. Tsaganos
- 期刊名称：《Journal of Investment Compliance》 | 2008年第2期
- Fundholding;
- Regulation;
- Securities;
- United States of America;
97.FIN 48: headaches for hedge fund tax compliance function

机译：FIN 48：对冲基金税收合规职能的头痛
- 作者：Roger D. Lorence
- 期刊名称：《Journal of Investment Compliance》 | 2008年第3期
- Hedging;
- Laws and legislation;
- Taxes;
- United States of America;
98.Treasury department's proposed overhaul of the financial regulatory structure: a look at the blueprint and a look ahead

机译：财政部提议的金融监管结构改革：展望蓝图和展望
- 作者：Brandon Becker;Elizabeth K. Derbes;Russell J. Bruemmer;Franca Harris Gutierrez;Martin E. Lybecker
- 期刊名称：《Journal of Investment Compliance》 | 2008年第3期
- Capital markets;
- Financial management;
- Regulation;
- United States of America;
99.New FSA disclosure regime for short selling during rights issues

机译：新的FSA披露制度，供股期间卖空
- 作者：Chris Bates;Carlos Conceicao;Guy Norman;David Pudge;Patrick Sarch
- 期刊名称：《Journal of Investment Compliance》 | 2008年第3期
- Disclosure;
- Financial control;
- Financial services;
- Rights issues;
- United Kingdom;
100.US DOL regulations may challenge private investment funds

机译：美国DOL法规可能会挑战私人投资基金
- 作者：Donald P. Carleen;Jeffrey Ross
- 期刊名称：《Journal of Investment Compliance》 | 2008年第3期
- Disclosure;
- Financial reporting;
- Regulation;
- United States of America;

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