Purpose: This paper aims to highlight certain comments made by US Securities and Exchange Commission (SEC) officials, which may provide insight into compliance and enforcement issues that may be important for market participants, including broker-dealers, investment advisors and reporting...

Purpose – The purpose of the paper is to conduct a global literature review and develop a viewpoint on the most critical success factors required to develop a global leadership mindset. Design/methodology/approach – The paper takes the form of a global literature review and the author's...