//--> //--> //--> //-->
Toggle navigation
Logout
Change account settings
EN
DE
ES
FR
A-Z
Beta
About EconBiz
News
Thesaurus (STW)
Research Skills
Help
EN
DE
ES
FR
My account
Logout
Change account settings
Login
Publications
Events
Your search terms
Search
Retain my current filters
~isPartOf:"The journal of investment compliance"
Search options
All Fields
Title
Exact title
Subject
Author
Institution
ISBN/ISSN
Published in...
Publisher
Open Access only
Advanced
Search history
My EconBiz
Favorites
Loans
Reservations
Fines
You are here:
Home
Search: subject:"COMPLIANCE"
Narrow search
Delete all filters
| 1 applied filter
Year of publication
From:
To:
Subject
All
Financial supervision
15
Finanzmarktaufsicht
15
USA
14
United States
14
Financial market regulation
11
Finanzmarktregulierung
11
Compliance
10
Legal compliance
10
Normbefolgung
10
Securities and Exchange Commission (SEC)
7
Regulation
6
Regulierung
6
Compliance management
5
Compliance-Management
5
Financial markets law
4
Investment Fund
4
Investmentfonds
4
Kapitalmarktrecht
4
Risikomanagement
4
Risk management
4
Broker-dealer
3
Cybersecurity
3
Financial Industry Regulatory Authority (FINRA)
3
Financial services
3
Finanzdienstleistung
3
Investment adviser
3
Office of Compliance Inspections and Examinations (OCIE)
3
Private Equity
3
Private equity
3
Steuermoral
3
Tax compliance
3
Chief compliance officer
2
Compliance program
2
Conflict of interest
2
Corruption
2
Data security
2
Datensicherheit
2
Korruption
2
Policies and procedures
2
Private equity fund
2
more ...
less ...
Online availability
All
Undetermined
15
Type of publication
All
Article
29
Type of publication (narrower categories)
All
Article in journal
29
Aufsatz in Zeitschrift
29
Language
All
English
29
Author
All
Nathan, Daniel A.
2
Prorokowski, Hubert
2
Anderson, Scott
1
Anderson, Scott R.
1
Araneo, John T.
1
Architzel, Paul M.
1
Benjet, Brian H.
1
Berkovitz, Dan M.
1
Berman, Kenneth
1
Bernstein, Gail
1
Bramnik, Robert P.
1
Buchanan, Mary Beth
1
Bullitt, Georgia
1
Burns, James
1
Caccese, Michael S.
1
Charton, Douglas Y.
1
Clark, Barton
1
Coe, Cheryl
1
Cruz, Leslie S.
1
Davis, Seth
1
DeWaal, Gary
1
Dempsey, Guy
1
Doan, Jenifer Q.
1
Doench, James
1
Fisher, Miriam
1
FitzGerald, Sean
1
Fleishhacker, Ellen Kaye
1
Garry, Kristen M.
1
Gelencsér, Etienne
1
Getsinger, Andrew D.
1
Greene, David
1
Grossetti, Pamela A.
1
Habert, Jack
1
Harrell, Michael P.
1
Holton, Robert J.
1
Hynes, Michael D.
1
Ingerman, Brett
1
Johnson, Tyson A.
1
Kalinowski, Jeff
1
Kanter, Adam
1
more ...
less ...
Published in...
All
The journal of investment compliance
IMF Staff Country Reports
379
ZRFC : risk, fraud & compliance ; Prävention und Aufdeckung in der Compliance-Organisation
145
CESifo working papers
102
Journal of economic psychology : research in economic psychology and behavioral economics
81
Working paper
79
Journal of economic behavior & organization : JEBO
76
NBER working paper series
76
Journal of business ethics : JOBE
68
SpringerLink / Bücher
67
CESifo Working Paper
66
Discussion paper series / IZA
65
IMF Working Papers
64
Working paper / National Bureau of Economic Research, Inc.
62
IZA Discussion Papers
61
MPRA Paper
60
NBER Working Paper
59
National tax journal
59
Journal of public economics
52
WPg : Kompetenz schafft Vertrauen
50
IMF country report
46
Tulane University Economics working paper
46
International tax and public finance
45
Die Bank
40
HMD : Praxis der Wirtschaftsinformatik
39
Journal of Business Ethics
39
The journal of the American Taxation Association : a publ. of the Tax Section of the American Accounting Association
39
Springer eBook Collection
38
Advances in taxation
34
CESifo Working Paper Series
34
Policy research working paper : WPS
34
Public finance review : PFR
34
IZA Discussion Paper
33
Journal of Investment Compliance
32
Journal of regulatory economics
32
Discussion papers / CEPR
30
Journal of Financial Regulation and Compliance
30
Discussion paper / Centre for Economic Policy Research
29
Disease Management and Health Outcomes
29
Handbuch Compliance-Management : konzeptionelle Grundlagen, praktische Erfolgsfaktoren, globale Herausforderungen
29
more ...
less ...
Source
All
ECONIS (ZBW)
29
Showing
1
-
10
of
29
Sort
relevance
articles prioritized
date (newest first)
date (oldest first)
1
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:
2
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:
3
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:
4
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:
5
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:
6
US securities and exchange commission's division of investment management issues guidance regarding robo-advisers
Monaco, Stephanie M.
;
Pershkow, Amy Ward
;
Cruz, Leslie S.
; …
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 26-33
Persistent link: https://www.econbiz.de/10011804762
Saved in:
7
FATCA : implications for non-US funds : a general guide for determining the applicability of FACTA to non-USA funds
Garry, Kristen M.
;
Gelencsér, Etienne
;
O'Pray, Eileen M.
; …
- In:
The journal of investment compliance
15
(
2014
)
4
,
pp. 44-52
Persistent link: https://www.econbiz.de/10010462125
Saved in:
8
Dodd-frank implementation update : key differences between the CFTC and SEC final business conduct standards and related cross-border requirements
Architzel, Paul M.
;
Berkovitz, Dan M.
;
Bernstein, Gail
; …
- In:
The journal of investment compliance
17
(
2016
)
3
,
pp. 31-38
Persistent link: https://www.econbiz.de/10011623077
Saved in:
9
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:
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:
1
2
3
Next
Last
Results per page
10
25
50
100
250
A service of the
zbw
×
Loading...
//-->