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Awards for Excellence - 2011

Outstanding Papers

Award journal index

Journal of Investment Compliance


Volume 11 issue 2
ABCs of ISDA agreements: advising the investor
Robert A. Robertson and Gerardo Perez-Giusti

Highly commended

Volume 11 issue 4
FinCEN and regulators issue joint guidance on obtaining beneficial ownership information, potentially expanding certain financial institutions’ USA PATRIOT Act obligations
Betty Santangelo and Amber Stokes

Volume 11 issue 4
FINRA's sanctions in 2009: a sign of things to come?
Deborah G. Heilizer, Brian L. Rubin and Shanyn L. Gillespie

Volume 11 issue 2
The control system in the Italian banking sector: recent changes in the application of Legislative Decree No. 231 of June 8, 2001
Gabriella Opromolla and Michela Maccarini