Recent SEC action reminds investment advisers of importance of robust compliance program
Therese Pritchard, Jeff Kalinowski and Jeff Ziesman
| Year of publication: |
2013
|
|---|---|
| Authors: | Pritchard, Therese ; Kalinowski, Jeff ; Ziesman, Jeff |
| Published in: |
The journal of investment compliance. - Bingley : Emerald, ISSN 1528-5812, ZDB-ID 2278191-2. - Vol. 14.2013, 3, p. 32-33
|
| Subject: | United States of America | Securities and Exchange Commission | Chief compliance officer | Compliance policies and procedures | USA | United States | Compliance-Management | Compliance management | Finanzmarktaufsicht | Financial supervision | Normbefolgung | Legal compliance |
| Type of publication: | Article |
|---|---|
| Type of publication (narrower categories): | Aufsatz in Zeitschrift ; Article in journal |
| Language: | English |
| Source: | ECONIS - Online Catalogue of the ZBW |
Persistent link: https://www.econbiz.de/10010222931