A straightforward discussion of compliance program requirements

By E. Scott David  

Journal of Investment Compliance, Vol. 4, Iss. 4, 2004-01 ,pp. : 20-26

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

Recent regulatory actions focused on policies and procedures designed to safeguard material, non-public information

By Lane Jason  

Journal of Investment Compliance, Vol. 12, Iss. 4, 2011-11 ,pp. : 44-47

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

Recent SEC sweep highlights the need for US investment advisers seeking business from sovereign wealth funds to develop policies for FCPA compliance

By Pittman Edward L.   Krause Cheryl A.   Bogle Thomas C.   Danilewitz Justin C.  

Journal of Investment Compliance, Vol. 12, Iss. 2, 2011-06 ,pp. : 11-15

Emerald Group Publishing Ltd

Access to resources Recommend Favorite

US: A brief review of The Interagency Statement on Sound Practices Concerning Elevated Risk Complex Structured Finance Activities

By Cohn Josh   Artmann Christian   Ruvinsky Alisa  

Journal of Risk Management in Financial Institutions, Vol. 1, Iss. 1, 2007-10 ,pp. : 112-116

Henry Stewart Publications

Access to resources Recommend Favorite

The compliance gap

By  

Journal of Investment Compliance, Vol. 4, Iss. 2, 2003-01 ,pp. : 31-38

Emerald Group Publishing Ltd

Access to resources Recommend Favorite