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pro vyhledávání: '"Stephanie M. Monaco"'
Autor:
Leslie S. Cruz, Stephanie M. Monaco
Publikováno v:
Journal of Investment Compliance. 22:236-242
Purpose To inform readers of the challenges that fintech companies can have regarding investment company status, using two recent examples. Design/methodology/approach The article provides an introduction to the subject, discusses two examples of fin
Autor:
Stephanie M. Monaco, Amy Ward Pershkow, Andrew D. Getsinger, Leslie S. Cruz, Adam D. Kanter, Peter M. McCamman
Publikováno v:
Journal of Investment Compliance. 18:26-33
Purpose To explain a guidance update issued in February 2017 by the staff of the Division of Investment Management (Staff) at the US Securities and Exchange Commission (SEC) on how robo-advisers may meet their disclosure, suitability and compliance o