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  • Search: subject:"compliance program"
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Year of publication
Subject
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compliance program 79 enforcement powers 75 international standards 67 internal controls 66 foreign counterparts 64 share information 64 risk management 63 adequate powers 62 market participants 62 money laundering 62 foreign regulators 61 collective investment schemes 60 accounting standards 59 market intermediaries 59 internal organization 58 iosco principles 58 regulatory authorities 58 market intermediary 56 securities regulation 56 market manipulation 55 collective investment scheme 54 regulatory requirements 54 due diligence 52 internal audit 51 reporting requirements 51 securities transactions 50 securities markets 48 supervisory framework 48 foreign authorities 47 regulatory authority 47 supervisory authorities 47 supervisory authority 46 administrative sanctions 45 insider trading 44 banking supervision 43 information exchange 43 risk management systems 43 settlement systems 43 exchange information 42 good faith 42
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Online availability
All
Free 81
Type of publication
All
Book / Working Paper 78 Article 3
Type of publication (narrower categories)
All
Article in journal 3 Aufsatz in Zeitschrift 3 Graue Literatur 1 Non-commercial literature 1
Language
All
Undetermined 74 English 7
Author
All
Elliott, Jennifer A. 3 Bohinská, Alexandra 2 Carvajal, Ana 2 Bologna, Pierluigi 1 Buchanan, John 1 Cihák, Martin 1 Fiechter, Jonathan 1 Hsu, Michael 1 McLaughlin, Lucilla 1 Narain, Aditya 1 Sanclemente Arciniegas, Javier 1 Tieman, Alexander F. 1 Tower, Ian 1 Vinãls, José 1
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Institution
All
International Monetary Fund (IMF) 77 International Monetary Fund 73
Published in...
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IMF Staff Country Reports 73 IMF Working Papers 3 Journal of HRM - human resource management 2 Cuadernos de administración : quarterly publication of Facultad de Ciencias de la Administración, Universidad del Valle 1 IMF Staff Position Notes 1 Technical notes and manuals / International Monetary Fund 1
Source
All
RePEc 77 ECONIS (ZBW) 4
Showing 1 - 10 of 81
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Compliance program and ethics program : does an organization need both?
Bohinská, Alexandra - In: Journal of HRM - human resource management 22 (2019) 2, pp. 1-9
Persistent link: https://www.econbiz.de/10012215694
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Compliance : norms as an instrument and a threat to the administration
Sanclemente Arciniegas, Javier - In: Cuadernos de administración : quarterly publication of … 35 (2019) 65, pp. 118-130
Persistent link: https://www.econbiz.de/10012253916
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Human resource manager's responsibility in creating a culture of legal compliance and ethics in an organization
Bohinská, Alexandra - In: Journal of HRM - human resource management 21 (2018) 2, pp. 8-15
Persistent link: https://www.econbiz.de/10012215050
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Revenue administration : implementing a high-wealth individual compliance program
Buchanan, John; McLaughlin, Lucilla - 2017
compliance of high wealth individuals. The note explains the rationale for a specialized compliance program for this segment of … assess readiness for such a compliance program, taking into account the legal framework, the political environment, the … implementing a high wealth individual compliance program, using the compliance risk management model as its foundation …
Persistent link: https://www.econbiz.de/10011671646
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Colombia; Financial System Stability Assessment
International Monetary Fund (IMF); International … - 2013
In this paper, the structure of Colombia’s financial sector is analyzed and various risks of the financial sector are studied. Supervision of the financial system can be performed by supervisory architecture, banking supervision, various securities, and insurance policies. Systemic...
Persistent link: https://www.econbiz.de/10011244169
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Singapore: Detailed Assessment of Implementation-IOSCO Objectives and Principles of Securities Regulation
International Monetary Fund (IMF); International … - 2013
This paper discusses the findings of the Detailed Assessment of Implementation on the International Organization of Securities Commissions (IOSCO) Objectives and Principles of Securities Regulation on Singapore. Overall compliance with IOSCO principles is generally high, although the assessors...
Persistent link: https://www.econbiz.de/10011244395
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India; Financial Sector Assessment Program—Detailed Assessments Report on IOSCO Objectives and Principles of Securities Regulation
International Monetary Fund (IMF); International … - 2013
This paper discusses findings of the assessments on International Organization of Securities Commissions (IOSCO) Objectives and Principles of Securities Regulation for India. India exhibits significant progress in the implementation of the IOSCO Principles vis-à-vis the assessment concluded in...
Persistent link: https://www.econbiz.de/10011244640
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Malaysia; Publication of Financial Sector Assessment Program Documentation—Detailed Assessment of Implementation of IOSCO Objectives and Principles of Securities Regulation
International Monetary Fund (IMF); International … - 2013
The article is an account of the assessment of implementation of IOSCO principles of securities and regulations in Malaysia. This assessment was conducted by the International Monetary fund (IMF) and the World Bank. The Securities Commission Malaysia has developed its supervisory network. The...
Persistent link: https://www.econbiz.de/10011244856
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France; Financial Sector Assessment Program—Detailed Assessment of Observance of IOSCO Objectives and Principles of Securities Regulation
International Monetary Fund (IMF); International … - 2013
This paper discusses key findings of the Detailed Assessment of Observance of International Organization of Securities Commissions (IOSCO) Objectives and Principles of Securities Regulation for France. The assessment reveals that France exhibits a high level of implementation of the IOSCO...
Persistent link: https://www.econbiz.de/10011245078
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Italy: Detailed Assessment of Observance of IOSCO Objectives and Principles of Securities Regulation
International Monetary Fund (IMF); International … - 2013
This paper discusses main findings of the Detailed Assessment of Observance of International Organization of Securities Commissions (IOSCO) Objectives and Principles of Securities Regulation in Italy. Italy exhibits a high level of implementation of the IOSCO principles. Overall the legal and...
Persistent link: https://www.econbiz.de/10011245666
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