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The journal of investment compliance
IMF country report
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CESifo working papers
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1
MSRB publishes its first compliance advisory for broker-dealers
Anderson, Scott R.
;
Poorbaugh, Kate S.
- In:
The journal of investment compliance
17
(
2016
)
3
,
pp. 49-51
Persistent link: https://www.econbiz.de/10011623098
Saved in:
2
Not just a compliance program, but an effective compliance program : SEC, DOJ issue strong reminders
Ingerman, Brett
;
Hynes, Michael D.
;
Benjet, Brian H.
; …
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 4-5
Persistent link: https://www.econbiz.de/10011438425
Saved in:
3
Combating money laundering by the banks in India : compliance and challenges
Viritha, B.
;
Mariappan, V.
;
Venkatachalapathy, Varun
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 78-95
Persistent link: https://www.econbiz.de/10011438505
Saved in:
4
SEC touts whistleblower award to a compliance professional : use care in responding to reports of potential violations
Srere, Mark
;
Buchanan, Mary Beth
;
Koch, Elaine
;
Mammen, …
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 77-78
Persistent link: https://www.econbiz.de/10011344527
Saved in:
5
FATCA violation underlies latest US tax and securities fraud charges
Fisher, Miriam
;
McManus, Brian
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 74-76
Persistent link: https://www.econbiz.de/10011344530
Saved in:
6
Organisation of compliance across financial institutions
Prorokowski, Lukasz
;
Prorokowski, Hubert
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 65-76
Persistent link: https://www.econbiz.de/10010366722
Saved in:
7
FCPA broker-dealer case highlights compliance risks for financial institutions
Urofsky, Philip
;
Newcomb, Danforth
- In:
The journal of investment compliance
14
(
2013
)
3
,
pp. 34-37
Persistent link: https://www.econbiz.de/10010222925
Saved in:
8
Recent SEC action reminds investment advisers of importance of robust compliance program
Pritchard, Therese
;
Kalinowski, Jeff
;
Ziesman, Jeff
- In:
The journal of investment compliance
14
(
2013
)
3
,
pp. 32-33
Persistent link: https://www.econbiz.de/10010222931
Saved in:
9
China's QFII regime : a complete review of the regulatory scheme and compliance risks
Shipman, Mark
- In:
The journal of investment compliance
13
(
2012
)
3
,
pp. 74-83
Persistent link: https://www.econbiz.de/10009664249
Saved in:
10
OFAC compliance in the securities and investment sector
In:
The journal of investment compliance
13
(
2012
)
3
,
pp. 21-26
Persistent link: https://www.econbiz.de/10009664261
Saved in:
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