Zobrazeno 1 - 7 of 7 pro vyhledávání: '"Perrie Michael Weiner"'
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Akademický článek
SEC asset management unit’s enforcement priorities for 2015 – conflicts of interest
Autor: Perrie Michael Weiner, Patrick Hunnius, Sean R. Crain
Publikováno v: Journal of Investment Compliance, 2015, Vol. 16, Issue 2, pp. 22-25.
Externí odkaz: http://www.emeraldinsight.com/doi/10.1108/JOIC-04-2015-0031
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2
SEC issues warning to analysts profiting from 'short and distort' schemes, opens the door for civil claims
Autor: Aaron Goodman, Edward Totino, Perrie Michael Weiner
Publikováno v: Journal of Investment Compliance. 20:34-38
Purpose To analyze the evolution of market manipulation and fraud by short-sellers and online bloggers and mechanisms available for addressing and remediating the damage caused by such fraud, including recent activity by the US Securities and Exchang
Externí odkaz: https://explore.openaire.eu/search/publication?articleId=doi_________::ae6e607a28ec018228bd38d4a11a079f
https://doi.org/10.1108/joic-02-2019-0017
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3
SEC asset management unit’s enforcement priorities for 2015 – conflicts of interest
Autor: Perrie Michael Weiner, Patrick Hunnius, Sean R. Crain
Publikováno v: Journal of Investment Compliance. 16:22-25
Purpose – To address “Conflicts, Conflicts Everywhere,” a speech at the recent IA Watch 17th Annual Compliance Conference by Julie M. Riewe, co-chief of the Securities and Exchange Commission’s Enforcement Division’s Asset Management Unit (
Externí odkaz: https://explore.openaire.eu/search/publication?articleId=doi_________::bb2c965ef1946d1df17a8a591c02fbb8
https://doi.org/10.1108/joic-04-2015-0031
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4
Prepare for the magnifying glass: SEC hikes scrutiny of asset managers – 4 steps to consider
Autor: Grant Alexander, Patrick Hunnius, Perrie Michael Weiner
Publikováno v: Journal of Investment Compliance. 16:49-51
Purpose – To discuss the Securities and Exchange Commission’s (SEC’s) likely preparation of new rules to increase the monitoring and oversight of various asset funds, including hedge funds and alternative mutual funds, and recommends protective
Externí odkaz: https://explore.openaire.eu/search/publication?articleId=doi_________::1dfaef75ff8d9a7c3c710e660d096e14
https://doi.org/10.1108/joic-01-2015-0012
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6
Recent developments in hedge fund enforcement and regulation by the SEC under the leadership of Chairman Cox suggest that he may not be the free market advocate everyone once thought he was
Autor: Edward Totino, Nicolas Morgan, Perrie Michael Weiner
Publikováno v: Journal of Investment Compliance. 7:4-11
PurposeThis paper aims to draw conclusions about the likelihood that Securities and Exchange Commission (“SEC”) Chairman Christopher Cox will take significant action to reduce regulation affecting hedge funds based on how the SEC has dealt with h
Externí odkaz: https://explore.openaire.eu/search/publication?articleId=doi_________::d89a9bade1912b13c26ebdd705099ab8
https://doi.org/10.1108/15285810610719899
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7
Short sales: New rules and recent enforcement actions
Autor: Perrie Michael Weiner, Edward Totino, Robert D. Weber
Publikováno v: Journal of Investment Compliance. 5:9-14
Over the past few years, regulators, issuers, investors, and other market participants have expressed increasing concerns regarding the real or perceived effects of short selling. For example, thinly‐capitalized issuers whose shares trade on the ov
Externí odkaz: https://explore.openaire.eu/search/publication?articleId=doi_________::d03e67d03912610ea7ce50afdb6e066d
https://doi.org/10.1108/15285810410636541
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