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12 Duq. Bus. L.J. [i] (2009-2010)

handle is hein.journals/duqbuslr12 and id is 1 raw text is: DUQUESNE BUSINESS LAW JOURNAL Volume 12 Winter 2009 Number 1 © DUQUESNE UNIVERSITY, 2009-2010 Symposium: Financial Compliance, Regulation, and Risk Management Organic Compliance... Doing More With Less Elizabeth H orrigan Rathz ........................................................................ I Compliance as the Competitive Differentiator Jam es R athz ............................................................................................ 13 A Survey of Regulations Applicable to Investment Advisers Joshua E. Broaded .................................................................................. 27 Wasn't My Broker Always Looking Out For My Best Interests? The Road to Become a Fiduciary Steven D. Irwin, Scott A. Lane, and Carolyn W. Mendelson ................... 41 The Supreme Court's Review of Jones v. Harris Associates and § 36(b) Claims Under The Investment Company Act of 1940-A Prospective and Analytical View James F Koehler and P Wesley Lambert .............................................. 63 Invigorating the Role of the In-house Legal Advisor as Steward in Ethical Culture and Governance at Client-Business Organizations: From 21 st Century Failures to True Calling Ben G . Pender II .................................................................................... 91 Comment The Ongoing Battle Against Insider Trading: A Comparison of Chinese and U.S. Law and Comments on How China Should Improve its Insider Trading Law Enforcement Regime L iu D uan ................................................................................................... 129

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