Dodd-frank implementation update : key differences between the CFTC and SEC final business conduct standards and related cross-border requirements
Paul M. Architzel, Dan M. Berkovitz, Gail Bernstein, Seth Davis and Ted Serafini
| Year of publication: |
2016
|
|---|---|
| Authors: | Architzel, Paul M. ; Berkovitz, Dan M. ; Bernstein, Gail ; Davis, Seth ; Serafini, Ted |
| Published in: |
The journal of investment compliance. - Bingley : Emerald, ISSN 1528-5812, ZDB-ID 2278191-2. - Vol. 17.2016, 3, p. 31-38
|
| Subject: | Business Conduct Rules | Security-based swap dealer | Swap dealer | Chief compliance officer | Substituted compliance | Security-based swaps | Swap | Finanzmarktregulierung | Financial market regulation | Compliance-Management | Compliance management |
| Type of publication: | Article |
|---|---|
| Type of publication (narrower categories): | Aufsatz in Zeitschrift ; Article in journal |
| Language: | English |
| Other identifiers: | 10.1108/JOIC-07-2016-0027 [DOI] |
| Source: | ECONIS - Online Catalogue of the ZBW |
Persistent link: https://www.econbiz.de/10011623077