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Journal of Investment Compliance

ISSN: 1528-5812

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Information Page

Editorial objective

The Journal of Investment Compliance (JOIC) is a quarterly professional journal covering regulatory and compliance issues relevant to broker-dealers, investment advisers, mutual funds, hedge funds and other types of investment companies in the principal financial markets of the world.

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

• research analyst independence
• supervision of registered representatives and advisers
• employment law relevant to broker-dealers
• registration with regulators
• preparing for regulatory examinations and investigations
• structure of securities markets
• recent mutual fund abuses
• organization of the compliance function
• the role of the chief compliance officer
• fund governance
• developing a culture of compliance
• comparison of regulations accross international jurisdictions
• trends in financial market and securities regulation
• recent litigation
• court decisions and disciplinary actions
• contesting disciplinary actions
• arbitation and mediation trends
• fund reporting and disclosure
• codes of ethics
• soft dollar guidelines
• insider trading
• money laundering
• e-mail retention

Topicality

Compliance issues are now at the forefront of the investment industry. We are living in a time of tremendous change in the financial world, where regulators are grappling with industry-wide rules and regulations, which impact on profits at financial firms worldwide. At the same time, compliance professionals at broker-dealers and investment advisory firms are being asked to carry a heavier burden than ever before. The Journal of Investment Compliance aids industry professionals by giving them access to the latest regulatory developments and new professional thinking in the investment industry.

Key benefits

• Keep abreast of new hedge fund rules and their implications
• Discover the tools and techniques in-house compliance officers and outside compliance attorneys are using in their day-to-day operations
• Learn more about codes of ethics and how they apply to each area of compliance
• Stay up to date with SEC developments and their implications.

Key journal audiences

• In-house compliance officers
• In-house compliance counsel
• Outside compliance attorneys
• Chief compliance officers
• CFOs and Financial directors
• Auditors and regulators
• Policy makers
• Special accountants, bank economists and consultants
• Lawyers specializing in financial management
• Analysts, accountants and consultants
• Academics and researchers in economics, finance, risk management.

 Journal of Investment Compliance is indexed and abstracted in: 

• Cabell's Directory of Publishing Opportunities in Economics and Finance
• OCLC - Electronic Collections Online

To find out the usage statistics for this journal please email the publisher 

Journal of Investment Compliance is available as part of an online subscription to the Emerald Accounting and Finance Subject Collection. For more information, please email collections@emeraldinsight.com.

This journal is a member of and subscribes to the
principles of the Committee on Publication Ethics.