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~isPartOf:"The journal of investment compliance"
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The journal of investment compliance
WPg : Kompetenz schafft Vertrauen
42
ZRFC : risk, fraud & compliance ; Prävention und Aufdeckung in der Compliance-Organisation
35
Die Bank
29
MPRA Paper
24
World Bank E-Library Archive
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Accounting and Auditing Assessment
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CESifo Working Paper
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Total quality management & business excellence : an official journal of the European Society for Organisational Excellence
18
IZA Discussion Papers
17
SpringerLink / Bücher
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CESifo working papers
16
Journal of Business Ethics
16
Discussion paper series / IZA
15
HMD : Praxis der Wirtschaftsinformatik
14
Environmental & Resource Economics
13
Working paper
13
IMF country report
12
Working Papers
12
Journal of Investment Compliance
11
Journal of Financial Crime
10
Journal of Financial Regulation and Compliance
10
Journal of Money Laundering Control
10
Journal of economic behavior & organization : JEBO
10
Journal of Regulatory Economics
9
SIMAT Arbeitspapiere
9
IMF staff country report
8
International Environmental Agreements: Politics, Law and Economics
8
International journal of disclosure and governance
8
SIMAT-Arbeitspapiere
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World development : the multi-disciplinary international journal devoted to the study and promotion of world development
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Discussion papers / CEPR
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European Union Politics
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IRZ : Zeitschrift für internationale Rechnungslegung
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Journal of Applied Accounting Research
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Ovidius University Annals, Economic Sciences Series
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The TQM journal : the international review of organizational improvement
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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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