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Wealth management requires a 360-degree compliance programme
Cowley, Jeffrey - In: Journal of securities operations & custody 14 (2022) 2, pp. 162-170
Persistent link: https://www.econbiz.de/10013433343
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A new European approach to transaction reporting
Bannigan, Vivienne - In: Journal of securities operations & custody 8 (2015/2016) 4, pp. 330-340
Persistent link: https://www.econbiz.de/10011667514
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Developing and implementing an appropriate surveillance system and organisation
Nylén, Peter - In: Journal of securities operations & custody 6 (2014) 3, pp. 270-281
Persistent link: https://www.econbiz.de/10010345135
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Understanding the value of enterprise compliance technology
Schaub, Adam - In: Journal of securities operations & custody 14 (2021/2022) 1, pp. 78-91
Persistent link: https://www.econbiz.de/10013184615
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Using a data warehouse to solve risk, performance, reporting and compliance-related issues
Stock, Tom - In: Journal of securities operations & custody 3 (2010/11) 4, pp. 305-315
Persistent link: https://www.econbiz.de/10009012610
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Anti-money laundering and sanctions compliance challenges for custody services
Levin, Sharon Cohen; Gutierrez, Franca Harris; Carroll, … - In: Journal of securities operations & custody 8 (2015/2016) 4, pp. 341-355
Persistent link: https://www.econbiz.de/10011667525
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Reconciliations : the forefront of regulatory compliance procedures
Gordon, Maryse - In: Journal of securities operations & custody 8 (2015/2016) 4, pp. 356-363
Persistent link: https://www.econbiz.de/10011667530
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Compliance as a service : utilising the power of the cloud
Schindler, Karl; White, Andrew Patrick - In: Journal of securities operations & custody 11 (2019) 2, pp. 168-177
Persistent link: https://www.econbiz.de/10012028577
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Regulatory reporting : success is found in a solid foundation
Gordon, Maryse - In: Journal of securities operations & custody 10 (2017/2018) 1, pp. 57-66
Persistent link: https://www.econbiz.de/10011855606
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Key compliance priorities of investment advisers : a short global overview
Bornatico, Andrea M. - In: Journal of securities operations & custody 10 (2017/2018) 3, pp. 210-221
Persistent link: https://www.econbiz.de/10011890840