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Awards for Excellence - 2016

Outstanding Papers

Award journal index

Journal of Investment Compliance


Volume 16 issue 4
No more bullsh*t: securities opinions after Omnicare
Aegis Frumento, Stephanie Korenman

Highly commended

Volume 16 issue 1
Recent civil and criminal enforcement action involving high frequency trading
Matthew Rossi, Greg Deis, Jerome Roche, Kathleen Przywara

Volume 16 issue 1
Useless/redundant/unread information returns and protective filings
Roger Lorence

Volume 16 issue 4
Solutions for risk data compliance under BCBS 239
Lukas Prorokowski, Hubert Prorokowski