, perhaps the most significant being their impact on existing compliance and corporate governance procedures. This paper seeks … companies. Findings – Publicly listed entities have cause for concern that their existing compliance programs may be bypassed by … – Companies need to improve their compliance programs to limit the potential hazards. Originality/value – The proffered “steps to …

. Design/methodology/approach – The paper highlights the principal new compliance obligations for FINRA members set forth in …

, the first time a Foreign Account Tax Compliance Act (FATCA) violation has been charged as an “overt act” in furtherance of … impact of enhanced US regulatory obligations and implement appropriate compliance measures. These institutions must also …

a compliance professional. Design/methodology/approach – Explains the first award issued to a compliance professional … to a compliance professional, noting that individuals performing compliance, audit, and legal functions are on the front … can prevent an imminent fraud or stop an ongoing fraud. The SEC’s specific courting of compliance and audit personnel …

implementations. Findings – The primary conclusion of this paper is that banks should not treat BCBS 239 as yet another compliance …

provide recommendations as to how a firm can develop or improve its culture of compliance. Design/methodology/approach This … disciplinary proceedings, and looks for common themes that should guide broker-dealers’ compliance. Findings This article concludes …, correspondingly, its compliance.  …

compliance obligations under the Investment Advisers Act of 1940 (Advisers Act). Design/methodology/approach Examines the update … adoption and implementation of effective compliance programs – and then raises practical considerations for robo … a listing of key issues that the SEC’s Office of Compliance Inspections and Examinations (OCIE) – which recently added …

, against an investment adviser for misleading advertising and false claims of compliance with Global Investment Performance … significance of the case, and lessons to be learned by investment advisors on compliance with GIPS standards. Findings – The … compliance notwithstanding the fact that all reported performance returns were accurate and no investors relied on or were harmed …

Purpose – The study was conducted to assess the level of compliance with regulatory guidelines on anti-money laundering … – Results indicated that the banks were largely complying (3.67 ± 1.39) with the AML measures under study. The compliance with …

compliance and disclosure reviews and the benefits of remediation and cooperation. Findings – This enforcement action and other …