Journal of Investment Compliance: Volume 7 Issue 2
Subjects:
Table of contents
Mutual funds under fire: reform initiatives
Thomas R. SmithTo describe the broad range of reform initiatives that has been undertaken in response to a series of mutual fund scandals that have become apparent starting in 2003. This is the…
1662
Should you stay or go? Private fund adviser registration after Goldstein
Thomas S. Harman, Monica L. ParryTo discuss factors that a private fund advisor should consider in its decision to remain registered with Securities and Exchange Commission (SEC) or to deregister in light of the…
131
Personal trading policies for hedge fund managers
Thomas S. Harman, Monica L. ParryTo provide a detailed description of personal trading policies that apply to hedge fund managers.
925
The downside of side letters
Ian Levin, Kevin ScanlanTo discuss possible disadvantages and other implications for private investment fund managers of issuing side letters to certain investors.
165
Hedge fund marketing overview
Ethan W. JohnsonTo provide a brief overview of US securities laws that apply to the marketing of hedge funds.
311
ISSN:
1528-5812e-ISSN:
1758-7476ISSN-L:
1528-5812Online date, start – end:
2000 – 2021Copyright Holder:
Emerald Publishing LimitedEditor:
- Henry A. Davis