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 | About the journal The Journal of Investment Compliance is a quarterly research journal covering both the broker-dealer and investment advisor ends of compliance and the increasing intertwining of the two sides. It offers practical analysis of issues on the regulation of investment funds as it relates to their trading, management, custody, transfers and investor rules by today's top compliance practitioners. |
| 雑誌概要 Journal of Investment Complianceは季刊の研究誌で、ブローカーやディーラー、および投資アドバイザー両者の視点によるコンプライアンスと、両者の複雑化する相互関係を網羅しています。投資資金の規制がその売買、管理、所有権、譲渡および投資家のためのルールなどに関連することから、今日のコンプライアンス実践者のトップによる、規制に関する問題の具体的分析などを掲載しています。 |
Editorial Objective The Journal of Investment Compliance is a quarterly research journal covering both the broker-dealer and investment advisor sides of compliance and the increasing intertwining of the two sides. The primary objective is to offer practical analysis of issues on the regulation of investment funds as it relates to their trading, management, custody, transfers and investor rules by today's top compliance practitioners. |
Editorial Criteria Papers written for the journal should provide straightforward practical advice to help compliance professionals monitor a situation or set up policy. Furthermore, all submissions should offer insight into the future direction of the industry and the compliance implications. Papers which address practical issues affecting compliance professionals and those providing insight into the handling of these issues, will be looked on most favourably. |
Coverage ・Guidelines for setting up personal trading procedures & employee education. ・Rules on affiliated transactions. ・ERISA regulations. ・Trade order allocation and execution standards. ・Suitability requirements for electronic brokers and ECNs. ・Relationship between the SEC and a compliance officer. ・Codes of ethics, and how they apply to each area of compliance. |