Recent SEC action reminds investment advisers of importance of robust compliance program
Year of publication: |
2013
|
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Authors: | Pritchard, Therese ; Kalinowski, Jeff ; Ziesman, Jeff |
Published in: |
The journal of investment compliance. - Bingley : Emerald, ISSN 1528-5812, ZDB-ID 2278191-2. - Vol. 14.2013, 3, p. 32-33
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Subject: | United States of America | Securities and Exchange Commission | Chief compliance officer | Compliance policies and procedures | USA | United States | Normbefolgung | Legal compliance | Compliance-Management | Compliance management | Finanzmarktaufsicht | Financial supervision |
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