Securities regulators' overlapping priorities provide guidance for examination preparation
Daniel A. Nathan and Elizabeth Marshall
| Year of publication: |
2017
|
|---|---|
| Authors: | Nathan, Daniel A. ; Marshall, Elizabeth |
| Published in: |
The journal of investment compliance. - Bingley : Emerald, ISSN 1528-5812, ZDB-ID 2278191-2. - Vol. 18.2017, 1, p. 15-18
|
| Subject: | Financial Industry Regulatory Authority (FINRA) | Investment advisers | Office of Compliance Inspections and Examinations (OCIE) | US Securities and Exchange Commission (SEC) | Broker-dealers | Compliance programs | USA | United States | Finanzmarktaufsicht | Financial supervision | Finanzmarktregulierung | Financial market regulation | Wertpapierrecht | Securities law | Regulierung | Regulation | Compliance-Management | Compliance management | Normbefolgung | Legal compliance |
| Type of publication: | Article |
|---|---|
| Type of publication (narrower categories): | Aufsatz in Zeitschrift ; Article in journal |
| Language: | English |
| Other identifiers: | 10.1108/JOIC-02-2017-0017 [DOI] |
| Source: | ECONIS - Online Catalogue of the ZBW |
Persistent link: https://www.econbiz.de/10011662048