Becker, Brandon; Newman, Bruce H.; Owens, Andre; Yim, Soo J. - In: Journal of Investment Compliance 8 (2007) 4, pp. 12-21
Purpose – The purpose of this paper is to discuss the implications of a recent SEC settlement with Morgan Stanley & Co. (MS & Co.) with regard to: communication and coordination among legal, compliance, business, and technology departments when designing, implementing, and maintaining...