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isPartOf:"Discussion papers / United Nations Conference on Trade and Development"
~isPartOf:"The journal of investment compliance"
~subject:"Rechtsdurchsetzung"
~subject:"Regulierung"
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Rechtsdurchsetzung
Regulierung
Financial market regulation
124
Finanzmarktregulierung
124
Financial supervision
84
Finanzmarktaufsicht
84
USA
55
United States
55
Financial markets law
34
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Regulation
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Finanzkrise
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Rubin, Brian
3
Nathan, Daniel A.
2
Asaro, Michael A.
1
Ayanian, John Z.
1
Bartle, Sarah
1
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1
Bayless, David
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1
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Bullitt, Georgia
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Discussion papers / United Nations Conference on Trade and Development
The journal of investment compliance
Journal of banking regulation
25
Journal of banking & finance
19
Journal of financial regulation and compliance : an international journal
17
Journal of securities operations & custody
17
Journal of financial stability
16
Ifo-Schnelldienst
15
Working papers / ADB Institute
15
SpringerLink / Bücher
14
IMF country report
12
Finance research letters
11
Journal of financial regulation
11
IMF working papers
10
SUERF studies
10
CESifo DICE report : journal for institutional comparisons
9
Economic developments in India : quarterly update : analysis, reports, policy documents
9
Financial regulation in the European Union
9
Springer eBook Collection
9
CESifo forum : a bi-monthly journal on European economic issues
7
Edward Elgar E-Book Archive
7
Journal of financial economics
7
NBER working paper series
7
Working papers / Department of Economics
7
Accounting, Economics, and Law : AEL ; a convivium
6
EBI working paper series
6
International review of financial analysis
6
Journal of accounting & economics
6
Journal of financial economic policy
6
LawFin working paper
6
NBER Working Paper
6
Review of international political economy : RIPE
6
SAFE working paper
6
Socio-economic review
6
The Geneva papers on risk and insurance - issues and practice : an official journal of the Geneva Association
6
ADBI Working Paper
5
After the crash : financial crises and regulatory responses
5
Building responsive and responsible financial regulators in the aftermath of the financial crisis
5
CESifo working papers
5
Credit and capital markets : Kredit und Kapital
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FRB of Philadelphia Working Paper
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ECONIS (ZBW)
31
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1
Securities regulators' overlapping priorities provide guidance for examination preparation
Nathan, Daniel A.
;
Marshall, Elizabeth
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 15-18
Persistent link: https://www.econbiz.de/10011662048
Saved in:
2
SEC adopts rules and forms to modernize reporting requirements for registered investment companies
Cohen, Stephen
;
Johnson, Megan
;
Brooks, Gary
;
Higgs, Brooke
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 25-42
Persistent link: https://www.econbiz.de/10011662066
Saved in:
3
The municipal advisor regulatory framework : where we are and where to next
Lanza, Ernesto
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 53-57
Persistent link: https://www.econbiz.de/10011662083
Saved in:
4
An update on the EU securities financing transactions regulation
Yonge, William J. G.
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 78-83
Persistent link: https://www.econbiz.de/10011662166
Saved in:
5
2016 FINRA analysis : a record-breaking year for fines
Rubin, Brian
;
Pollet, Adam
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 1-8
Persistent link: https://www.econbiz.de/10011704583
Saved in:
6
OCIE to investment advisers : focus on these five problem areas
Peltz, Brynn D.
;
Nissan, Ilan S.
;
Rabinowitz, Evyn W.
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 16-18
Persistent link: https://www.econbiz.de/10011704661
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7
What is a Regulation SHO bona-fide market maker?
Bergmann, Larry E.
;
Dombach, James P.
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 19-26
Persistent link: https://www.econbiz.de/10011704668
Saved in:
8
AML compliance in the age of individual accountability
Greene, Carlton
;
Hanusik, Thomas
;
Stinebower, Cari
; …
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 44-47
Persistent link: https://www.econbiz.de/10011804788
Saved in:
9
Investment recommendations under the Market Abuse Regulation (MAR) : operative guidelines issued by the Italian Securities and Exchange Commission (CONSOB)
Parola, Lorenzo
;
Falco, Francesco
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 85-90
Persistent link: https://www.econbiz.de/10011804889
Saved in:
10
CFTC modernizes Rule 1.31 recordkeeping requirements
Mitchell, David S.
;
McLaughlin, Robert M.
;
Breslin, …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 45-49
Persistent link: https://www.econbiz.de/10011808535
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