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~isPartOf:"The journal of investment compliance"
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The journal of investment compliance
Finance and stochastics
92
Mathematical finance : an international journal of mathematics, statistics and financial theory
50
International journal of theoretical and applied finance
41
WPg : Kompetenz schafft Vertrauen
41
Journal of econometrics
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ZRFC : risk, fraud & compliance ; Prävention und Aufdeckung in der Compliance-Organisation
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Die Bank
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Journal of securities operations & custody
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Journal of Business Ethics
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Mathematics and financial economics
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Environmental & Resource Economics
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Statistics & Probability Letters
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Journal of Investment Compliance
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Economics letters
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Journal of Financial Crime
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Journal of Financial Regulation and Compliance
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Journal of Money Laundering Control
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Journal of business & economic statistics : JBES ; a publication of the American Statistical Association
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ECONIS (ZBW)
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1
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
Saved in:
2
FATCA violation underlies latest US tax and securities fraud charges
Fisher, Miriam
;
McManus, Brian
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 74-76
Persistent link: https://www.econbiz.de/10011344530
Saved in:
3
SEC target investment adviser community
Bramnik, Robert P.
;
Wolfe, Mauro M.
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 45-47
Persistent link: https://www.econbiz.de/10010366727
Saved in:
4
The SEC’s evolving scrutiny of private equity firms : KKR hit with an unprecedented enforcement action for broken deal expense misallocation
Rendon Callahan, Veronica
;
Fleishhacker, Ellen Kaye
; …
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 39-42
Persistent link: https://www.econbiz.de/10011438478
Saved in:
5
Solutions for risk data
compliance
under BCBS 239
Prorokowski, Lukas
;
Prorokowski, Hubert
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 66-77
Persistent link: https://www.econbiz.de/10011438504
Saved in:
6
Combating money laundering by the banks in India :
compliance
and challenges
Viritha, B.
;
Mariappan, V.
;
Venkatachalapathy, Varun
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 78-95
Persistent link: https://www.econbiz.de/10011438505
Saved in:
7
SEC administrative law judge bars investment manager for misrepresenting GIPS
compliance
Caccese, Michael S.
;
Charton, Douglas Y.
;
Grossetti, …
- In:
The journal of investment compliance
15
(
2014
)
3
,
pp. 38-40
Persistent link: https://www.econbiz.de/10010428105
Saved in:
8
FCPA broker-dealer case highlights
compliance
risks for financial institutions
Urofsky, Philip
;
Newcomb, Danforth
- In:
The journal of investment compliance
14
(
2013
)
3
,
pp. 34-37
Persistent link: https://www.econbiz.de/10010222925
Saved in:
9
Practical tips for satisfying FINRA's "culture" concerns
Nathan, Daniel A.
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 8-14
Persistent link: https://www.econbiz.de/10011662040
Saved in:
10
US securities and exchange commission's division of investment management issues guidance regarding robo-advisers
Monaco, Stephanie M.
;
Pershkow, Amy Ward
;
Cruz, Leslie S.
; …
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 26-33
Persistent link: https://www.econbiz.de/10011804762
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