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Article
Publication date: 1 March 2001

NEIL G. WOLF and ROBERT P. BRAMNIK

The debate over pre‐dispute arbitration agreements for employment cases continues, despite the recent ruling from the Supreme Court. This article looks at this issue with a…

64

Abstract

The debate over pre‐dispute arbitration agreements for employment cases continues, despite the recent ruling from the Supreme Court. This article looks at this issue with a particular view towards the securities industry. It discusses several factors that employers should weigh when deciding how to proceed.

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Journal of Investment Compliance, vol. 2 no. 2
Type: Research Article
ISSN: 1528-5812

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Article
Publication date: 1 April 2003

Cheryl Bryson, Robert Bramnik and Rachel Lutner

Few new laws in recent years have inspired as much attention as the Sarbanes‐Oxley Act of 2002 (Act). The procedural and substantive requirements of the Act have, and will…

155

Abstract

Few new laws in recent years have inspired as much attention as the Sarbanes‐Oxley Act of 2002 (Act). The procedural and substantive requirements of the Act have, and will continue to have, far reaching impact on and implications for all issuers of securities and their officers, directors, and other controlling persons. However, for employers who are participants in the financial services industry (such as broker‐dealers, investment advisors, fund advisors and managers, and others), the Act raises an unintended and untoward consequence, which appears to have passed under the radar screens of most commentators.

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Journal of Investment Compliance, vol. 4 no. 2
Type: Research Article
ISSN: 1528-5812

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Article
Publication date: 27 February 2014

Robert P. Bramnik and Mauro M. Wolfe

– To draw attention to the US Securities and Exchange Commission's (SEC) disciplinary focus on the investment adviser community

71

Abstract

Purpose

To draw attention to the US Securities and Exchange Commission's (SEC) disciplinary focus on the investment adviser community

Design/methodology/approach

Describes six recent enforcement cases for disclosure, custody, supervisory, procedural, and other rule violations and compliance failures; explains changes in registered investment adviser (RIA) exemptions following enactment of the Dodd-Frank Act; discusses recent SEC announcements concerning inspections and examinations of RIAs.

Findings

The SEC's recent announcements and enforcement actions signal that all advisers (both registered investment advisers and exempt reporting advisers) may want to pay particular attention to their compliance programs and supervisory procedures.

Originality/value

Practical advice from experienced financial services lawyers.

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Journal of Investment Compliance, vol. 15 no. 1
Type: Research Article
ISSN: 1528-5812

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Article
Publication date: 1 January 2001

ROBERT P. BRAMNIK and NEIL B. SOLOMON

The use of electronic media in the financial services industry is discussed in light of the regulatory framework in which the industry exists. The authors explore this issue in…

802

Abstract

The use of electronic media in the financial services industry is discussed in light of the regulatory framework in which the industry exists. The authors explore this issue in regards to both the securities and futures regulatory structure.

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Journal of Investment Compliance, vol. 1 no. 4
Type: Research Article
ISSN: 1528-5812

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Article
Publication date: 27 February 2014

Henry Davis

63

Abstract

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Journal of Investment Compliance, vol. 15 no. 1
Type: Research Article
ISSN: 1528-5812

Available. Content available
Article
Publication date: 27 February 2014

Henry Davis

0

Abstract

Details

Journal of Investment Compliance, vol. 15 no. 1
Type: Research Article
ISSN: 1528-5812

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