Journal of Investment Compliance

Journal of Investment Compliance


ISSN: 1528-5812

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Aims and Scope

The Journal of Investment Compliance provides current and practical advice on regulatory and compliance issues relevant to compliance professionals, offering insight into the future direction of the industry and the compliance implications.

Topics addressed include:

  • organization of the compliance function
  • trends in financial market and securities regulation; insider trading
  • codes of ethics
  • supervision of registered representatives and advisers
  • preparing for the regulatory examinations and investigations
  • recent litigation; arbitration and mediation trends
  • fund governance, reporting and disclosure

The Journal of Investment Compliance keeps compliance professionals up to date with SEC developments and their implications, codes of ethics and how they apply to each area of compliance. Readers also discover the tools and techniques in-house compliance officers and outside compliance attorneys use in their day-to-day operations.

The Journal of Investment Compliance is indexed and abstracted in: 

ABI/INFORM Complete/ ABI/INFORM Global/ ABI/INFORM Professional Advanced/ ABI/INFORM Professional Standard/ Professional ABI/INFORM Complete (ProQuest), Accounting & Tax Periodicals (ProQuest), Banking Information Source (ProQuest), Business Source Alumni Edition/ Complete/ Complete: Government Edition/ Corporate/ Corporate (Select Edition)/ Corporate Plus/ Elite/ Premier (EBSCO), Cabell's Directory of Publishing Opportunities in Economics and Finance, OCLC - Electronic Collections Online, Professional ProQuest Central/ ProQuest Central (ProQuest), ReadCube Discover, TOC Premier (EBSCO)

Ranked by:

Australian Business Deans Council (ABDC)


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Journal of Investment Compliance is available as part of an online subscription to the Emerald Accounting, Finance & Economics eJournals Collection. For more information, please email collections@emeraldinsight.com or visit the Emerald Accounting, Finance & Economics eJournals Collection page.

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This journal is a member of and subscribes to the principles of the Committee on Publication Ethics. More on Emerald's approach is available in our Publication Ethics guidelines.