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~isPartOf:"The journal of investment compliance"
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Law enforcement
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Rubin, Brian
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The journal of investment compliance
IMF Staff Country Reports
197
NBER working paper series
88
NBER Working Paper
62
Working paper / National Bureau of Economic Research, Inc.
62
Discussion paper series / IZA
59
European journal of law and economics
56
International review of law and economics
56
Discussion paper / Centre for Economic Policy Research
50
CESifo working papers
48
Journal of institutional and theoretical economics : JITE
46
IZA Discussion Paper
34
Industrial relations and social dialogue
30
Working paper / Eurofound
30
The journal of law & economics
29
Journal of international economic law
27
Journal of competition law & economics
26
Review of law and economics : publ. in cooperation with European Association of Law and Economics ...
26
Бизнес в законе. Экономико-юридический журнал
24
CESifo Working Paper Series
23
Journal of economic behavior & organization : JEBO
22
Journal of environmental economics and management : JEEM ; the official journal of the Association of Environmental and Resource Economists
22
Journal of regulatory economics
22
The journal of world investment & trade : law, economics, politics
22
The journal of law, economics, & organization
20
International competition law series
19
Working paper
19
Economics letters
18
Journal of public economics
18
Discussion papers / CEPR
16
ZEW discussion papers
16
Discussion paper / Tinbergen Institute
15
Discussion paper series / John M. Olin Center for Law, Economics, and Business, Harvard Law School
15
Journal of public economic theory
15
Wirtschaftsrecht und Wirtschaftspolitik
14
Working papers / University of Connecticut, Department of Economics
14
Journal of business ethics : JOBE
13
Market and competition law review
13
Policy research working paper : WPS
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SpringerLink / Bücher
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1
Hong Kong SFC enforcement trends
Brock, Denis
;
Beattie, Amanda
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 105-106
Persistent link: https://www.econbiz.de/10011662208
Saved in:
2
2016 FINRA analysis : a record-breaking year for fines
Rubin, Brian
;
Pollet, Adam
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 1-8
Persistent link: https://www.econbiz.de/10011704583
Saved in:
3
CFTC's demanding new cooperation guidelines for companies and individuals
Peace, Breon S.
;
Park, Jennifer Kennedy
;
Bergen, Robin M.
; …
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 52-58
Persistent link: https://www.econbiz.de/10011804805
Saved in:
4
The FCA’s new enforcement process : what will work, and what won’t
James, Polly
;
Jamieson, Adam
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 79-81
Persistent link: https://www.econbiz.de/10011804862
Saved in:
5
Cybersecurity enforcement actions : is the SEC bringing strict liability cases?
Rubin, Brian
;
Xu, Amy
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 112-116
Persistent link: https://www.econbiz.de/10011523768
Saved in:
6
SEC enforcement actions getting up close and personal
Kaplan, Matthew E.
;
Paley, Alan H.
;
Tuttle, Jonathan R.
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 131-132
Persistent link: https://www.econbiz.de/10011523795
Saved in:
7
Anti-money laundering program and suspicious activity report filing requirements for registered investment advisors : practicalities and implications of FinCEN's proposed new rule
Lopez, Jonathan A.
;
Linn, Courtney J.
;
Eisert, Edward
; …
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 54-60
Persistent link: https://www.econbiz.de/10011523896
Saved in:
8
The CFTC turns to insider trading enforcement
Himes, Scott
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 66-69
Persistent link: https://www.econbiz.de/10011523907
Saved in:
9
2014 FINRA analysis : a blockbuster year for fines
Rubin, Brian
;
McCormick, Andrew M.
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 4-12
Persistent link: https://www.econbiz.de/10011405507
Saved in:
10
SEC asset management unit’s enforcement priorities for 2015 : conflicts of interest
Weiner, Perrie Michael
;
Hunnius, Patrick
;
Crain, Sean R.
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 22-25
Persistent link: https://www.econbiz.de/10011405515
Saved in:
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