Compliance rules for an effective investment management system

Author： Balasubrmanian Vasanth Sandilya  

Publisher： Henry Stewart Publications

ISSN： 1753-1802

Source： Journal of Securities Operations & Custody, Vol.6, Iss.3, 2014-03, pp. : 206-211

Disclaimer: Any content in publications that violate the sovereignty, the constitution or regulations of the PRC is not accepted or approved by CNPIEC.

Previous Menu Next

Abstract

Related content

Investment management compliance: The dawn of a new era?

By Turner Roger   Di Florio Carlo  

Journal of Investment Compliance, Vol. 4, Iss. 4, 2004-01 ,pp. : 49-53

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

Global investment management survey identifies regulatory and compliance issues as top industry challenge

By LLP PricewaterhouseCoopers  

Journal of Investment Compliance, Vol. 4, Iss. 3, 2003-01 ,pp. : 47-51

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

Sarbanes-Oxley: investment company compliance

By I. Pershkow Barry  

Journal of Investment Compliance, Vol. 3, Iss. 4, 2003-01 ,pp. : 16-30

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

Learning to profit with discrete investment rules

By Skouras S.  

Quantitative Finance, Vol. 1, Iss. 2, 2001-02 ,pp. : 284-288

Routledge Ltd

Access to resources Recommend Favorite

Conflicts of interest chief compliance officers face in implementing compliance programs for investment funds and investment advisers

By Majewski Thomas M.  

Journal of Investment Compliance, Vol. 7, Iss. 4, 2006-10 ,pp. : 23-27

Emerald Group Publishing Ltd

Access to resources Recommend Favorite