Coverart for item
The Resource The SEC, the DOJ and investment advisers : the examination and enforcement regime, Elizabeth P. Gray, Katherine D. Hanniford (Willkie Farr & Gallagher LLP)

The SEC, the DOJ and investment advisers : the examination and enforcement regime, Elizabeth P. Gray, Katherine D. Hanniford (Willkie Farr & Gallagher LLP)

Label
The SEC, the DOJ and investment advisers : the examination and enforcement regime
Title
The SEC, the DOJ and investment advisers
Title remainder
the examination and enforcement regime
Statement of responsibility
Elizabeth P. Gray, Katherine D. Hanniford (Willkie Farr & Gallagher LLP)
Title variation
Securities and Exchange Commission, the Department of Justice and investment advisers
Title variation remainder
the examination and enforcement regime
Creator
Contributor
Author
Issuing body
Subject
Language
eng
Summary
"... reviews the SEC's enforcement program. The program is characterized by aggressive monitoring of the markets, as the Commission seeks to protect investors from misconduct by, among other actors, investment advisers. The SEC has conducted a significant number of investigations of investment advisers and investment companies and brought enforcement actions in many areas, including insider trading, undisclosed conflicts of interest, unfair allocations or "cherry picking" and misuse of fund assets, including theft and Ponzi schemes. In many instances, the SEC and the Department of Justice may run parallel investigations for more serious violations. Working in conjunction with another, the Justice Department and the SEC can bring separate but overlapping actions."
Member of
Cataloging source
BNA
Characteristic
updating web site
Entry convention
integrated entry
LC call number
KF1434
LC item number
.S43 no. 283
Nature of contents
  • dictionaries
  • bibliography
Regularity
complete irregular
Series statement
Securities practice portfolio series
Series volume
portfolio 283
Label
The SEC, the DOJ and investment advisers : the examination and enforcement regime, Elizabeth P. Gray, Katherine D. Hanniford (Willkie Farr & Gallagher LLP)
Link
https://www.bloomberglaw.com/browser/105.484382
Instantiates
Publication
Bibliography note
Includes bibliographical references
Carrier category
online resource
Carrier category code
cr
Carrier MARC source
rdacarrier
Color
mixed
Content category
text
Content type code
txt
Content type MARC source
rdacontent
Contents
Detailed analysis. Introduction -- SEC requirements and examinations -- Relationship between the SEC and the Department of Justice -- The Investment Company Act and the role of the board -- Enforcement priorities
Dimensions
unknown
Extent
1 online resource.
Form of item
online
Media category
computer
Media MARC source
rdamedia
Media type code
c
Publication frequency
Updated irregularly
Specific material designation
remote
System control number
  • (OCoLC)910561508
  • UtOrBLW
Label
The SEC, the DOJ and investment advisers : the examination and enforcement regime, Elizabeth P. Gray, Katherine D. Hanniford (Willkie Farr & Gallagher LLP)
Link
https://www.bloomberglaw.com/browser/105.484382
Publication
Bibliography note
Includes bibliographical references
Carrier category
online resource
Carrier category code
cr
Carrier MARC source
rdacarrier
Color
mixed
Content category
text
Content type code
txt
Content type MARC source
rdacontent
Contents
Detailed analysis. Introduction -- SEC requirements and examinations -- Relationship between the SEC and the Department of Justice -- The Investment Company Act and the role of the board -- Enforcement priorities
Dimensions
unknown
Extent
1 online resource.
Form of item
online
Media category
computer
Media MARC source
rdamedia
Media type code
c
Publication frequency
Updated irregularly
Specific material designation
remote
System control number
  • (OCoLC)910561508
  • UtOrBLW

Library Locations

Processing Feedback ...