About | HeinOnline Law Journal Library | HeinOnline Law Journal Library | HeinOnline

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

What Is HeinOnline?

HeinOnline is a subscription-based resource containing nearly 3,000 academic and legal journals from inception; complete coverage of government documents such as U.S. Statutes at Large, U.S. Code, Federal Register, Code of Federal Regulations, U.S. Reports, and much more. Documents are image-based, fully searchable PDFs with the authority of print combined with the accessibility of a user-friendly and powerful database. For more information, request a quote or trial for your organization below.



Short-term subscription options include 24 hours, 48 hours, or 1 week to HeinOnline with pricing starting as low as $29.95

Contact us for annual subscription options:

Already a HeinOnline Subscriber?

profiles profiles most