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Your search keyword '"Raine, George"' showing total 2 results
Start Over Author "Raine, George" Publisher aspen publishers, inc.
2 results on '"Raine, George"'

1. Regulatory monitor: SEC update

Author

Raine, George B., Brown, Jason E., Geffen, David M., and Adams, Stephen D.

Subjects
United States. Securities and Exchange Commission, Royal Bank of Canada, Banking industry, Banking industry, Banking, finance and accounting industries, Business, Law
Abstract

SEC's Information Update for Advisers Relying on the Unibanco No-Action Letters Overview In March, the Securities and Exchange Commission's (SEC) Division of Investment Management published a four-page Information Update for [...]

Published
2017

2. Navigating the Shanghai-Hong Kong Stock Connect: relevance, risks, and practical considerations for investment advisers

Author

Raine, George B. and Adams, Stephen D.

Subjects
Financial markets, Consultants, Stocks, Stock-exchange, Securities industry -- Foreign operations, Securities industry, Banking, finance and accounting industries, Business, Law, Employee Retirement Income Security Act of 1974, Shanghai Stock Exchange -- Foreign operations
Abstract

This article explores some of the opportunities and risks presented by the Shanghai-Hong Kong Stock Connect (the Stock Connect), and reviews practical considerations for investment advisers in beginning to use [...]

Published
2015

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