TITLE

Compliance for Investment Advisors

AUTHOR(S)
Kelvin, Jeff
PUB. DATE
June 2003
SOURCE
Advisor Today;Jun2003, Vol. 98 Issue 6, p58
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Focuses on the compliance-related responsibilities of registered investment advisory firms in the U.S. Rules on record-keeping; Importance of accurate, legal and compliant documents; Procedures for insider trading.
ACCESSION #
9923797

 

Related Articles

  • Intellectual property or inside information? Basson, Deon // Finance Week;08/25/2000, p36 

    Discusses the role of investment analysts in insider trading in South Africa. Impact of the strict insider trading rules on investment analysts; Responsibilities of investment analysts.

  • Online: Most read this month on AsianInvestor.net.  // Asian Investor;3/1/2015, p1 

    The article lists several topics which were read by readers on online address of the periodical on topics including fund managers, alternative investments and insider-trading.

  • Insider Trading: ASIC gets tough. Cheetham, Andrew // inFinance;Mar2007, Vol. 121 Issue 1, p44 

    The article offers some insights into insider trading trends in Australia in 2007. Research has indicated that insider trading laws and their enforcement have a positive and significant effect on liquidity in the equity market. Financial advisers ought to have an understanding of insider trading...

  • Even Better Buys. Flaherty, Robert J. // Equities;Spring2005, Vol. 53 Issue 1, p28 

    Features Ray Dirks, investment analyst and Treasured member of Equities" magazine's Favorites of the Famous. Consequence for Dirks for exposing the Equity Funding Fraud including charges of insider trading from the US. Securities and Exchange Commission; Responsibilities at Brookstreet Securities.

  • Tipping. Irvine, Paul; Lipson, Marc; Puckett, Andy // Review of Financial Studies;May2007, Vol. 20 Issue 3, p741 

    We investigate the trading of institutions immediately before the release of analysts' initial buy recommendations. We document abnormally high institutional trading volume and buying beginning five days before recommendations are publicly released. Abnormal buying is related to initiation...

  • Ex-SAC Fund Manager Martoma Found Guilty in Insider Case. VAN VORIS, BOB // News India Times;2/14/2014, Vol. 45 Issue 7, p12 

    The article reports that Mathew Martoma, former SAC Capital Advisors LP fund manager, was found guilty in the most lucrative insider-trading scheme. Topics discussed include clinical trials of an Alzheimer's disease drug, two counts of securities fraud and Martoma details of the final results of...

  • No Exodus at Morgan. Chapelle, Tony // On Wall Street;Jul2005, Vol. 15 Issue 7, p19 

    The article reports on the loyalty of stockbrokers to Morgan Stanley & Co. Inc. Brokers believe that the company will win an appeal that would throw out or decrease the highly publicized Florida jury verdict that awarded financier Ronald Perelman for compensatory and punitive damages.

  • Discussion--A League of Their Own? Financial Analysts' Responses to Restatements and Corrective Disclosures. Richardson, Scott A. // Journal of Accounting, Auditing & Finance;Fall2003, Vol. 18 Issue 4, p519 

    Deals with the views of financial analysts about restatements and corrective financial disclosures affecting stock price and trading. Discussion of the notion of informed participants in the capital market; Examination of the behavior of financial analysts; Failure of financial analysts to...

  • What took so long!  // Money Management;2/26/2004, Vol. 18 Issue 6, p36 

    Discusses the suspension of Rene Rivkin by the Australian Securities and Investments Commission from holding a dealer's license and banning him from acting as a representative of a dealer or investment adviser. Reason for the action; Conviction and prison sentence for insider trading.

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics