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~isPartOf:"Schriftenreihe Compliance"
~isPartOf:"The journal of investment compliance"
~subject:"Finanzmarktaufsicht"
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Schriftenreihe Compliance
The journal of investment compliance
Compliance im Finanzdienstleistungsbereich
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ECONIS (ZBW)
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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
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2
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
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