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person:"Di Giorgio, Giorgio"
~person:"Nathan, Daniel A."
~subject:"Financial market regulation"
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Di Giorgio, Giorgio
Nathan, Daniel A.
Flint, George
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The journal of investment compliance
4
Rivista italiana degli economisti : the journal of the Italian Economic Association
1
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ECONIS (ZBW)
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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
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2
Heightened supervision of branch offices
Nathan, Daniel A.
;
Navarro, Lauren
;
Matta, Kevin
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 18-21
Persistent link: https://www.econbiz.de/10011405512
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3
SEC intensifies scrutiny of fee-based accounts and reverse churning
Nathan, Daniel A.
;
Navarro, Lauren A.
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 48-51
Persistent link: https://www.econbiz.de/10010366726
Saved in:
4
Cybersecurity : SEC is starting to scrutinize registrants' practices
Nathan, Daniel A.
;
Greismann, Libby J.
- In:
The journal of investment compliance
15
(
2014
)
4
,
pp. 4-6
Persistent link: https://www.econbiz.de/10010461411
Saved in:
5
Reshaping financial market regulation and supervision in Italy
Di Giorgio, Giorgio
;
Di Noia, Carmine
;
Piatti, Laura
- In:
Rivista italiana degli economisti : the journal of the …
6
(
2001
)
1
,
pp. 31-60
Persistent link: https://www.econbiz.de/10003019972
Saved in:
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