Journal of Investment Compliance: Volume 6 Issue 3

The role of compliance

Securities Industry Association, Compliance, Legal Division

To discuss the scope and limits of the compliance department's responsibilities in securities firms.

Document destruction and obstruction of justice: why Arthur Andersen doesn't matter

Patrick D. Robbins, Alicia G. Huffman

To provide guidance to investment companies on document retention policies based on Section 802 of the Sarbanes‐Oxley Act of 2002, codified as Section 1519 of the United States…

New supervisory control requirements for branch and remote offices

Amy N. Kroll, Anders W. Franzon

To provide an overview of the new uniform definition of “branch office” and to discuss how that definition will influence broker‐dealer supervisory programs.

IT excellence starts with governance

Nick Robinson

To explain how information technology (IT) governance enables an organization to achieve three vital objectives: regulatory and legal compliance, operational excellence, and…

The impact of the Market in Financial Instruments Directive (MiFID)

Aman Jairath

To introduce the Market in Financial Instruments Directive (MiFID).

Outsourcing: the regulatory challenge for financial services firms

Ruth M. Evans

To explain current guidelines for outsourcing as provided by the Joint Forum, the EU Markets in Financial Instruments Directive (MiFID), and the UK Financial Services Authority.

Trust an analyst? An investigation of conflicts of interest in an Australian investment bank

Alex Proimos

To show how conflicts of interest and disingenuous investment research at the end of the 1990s stock market bubble occurred in Australia as well as the USA and Western Europe.

State of New York versus ten investment banks

Chee Ng

To test and compare how the value of ten major investment banking firms was affected by the announcement in April 2002 of an investigation by the New York State Attorney General's…

Editor column

Henry A. Davis