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Journal of Investment Compliance provides current, practical advice on regulatory and compliance issues relevant to lawyers and regulatory compliance professionals in broker-dealers, investment banks, investment advisers, hedge funds, mutual funds and private equity funds.

ISSN: 1528-5812
eISSN: 1758-7476

Aims and scope

Topics addressed include: 

  • Organisation, staffing and goals of the compliance function
  • Trends in financial market and securities regulations
  • Recent regulations promulgated by the US Securities and Exchange Commission (SEC), the US Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA) and financial regulatory agencies in the other principal financial markets of the world
  • Codes of ethics
  • Supervision of registered representatives and investment advisers
  • Preparing for the regulatory examinations and investigations
  • Recent litigation, arbitration and mediation trends
  • Fund governance, reporting and disclosure 

This journal is aligned with our responsible management goal

We aim to champion researchers, practitioners, policymakers and organisations who share our goals of contributing to a more ethical, responsible and sustainable way of working.

SDG 8 Decent work & economic growth
SDG 9 Industry, innovation & infrastructure
SDG 10 Reduced inequalities
SDG 11 Sustainable cities & communities
SDG 12 Responsible consumption & production
SDG 13 Climate action
Find out about our responsible management goal