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Organisation of compliance across financial institutions
Prorokowski, Lukasz; Prorokowski, Hubert - In: The journal of investment compliance 15 (2014) 1, pp. 65-76
Persistent link: https://www.econbiz.de/10010366722
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Regulation R : Bank Broker Dealer Compliance Guide
Fein, Melanie L. - 2010
-dealers sell securities to their customers, they may become subject to registration and regulation under the Securities Exchange … forth in Regulation R, a joint regulation issued by the Securities and Exchange Commission and the Federal Reserve Board …
Persistent link: https://www.econbiz.de/10013139027
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Compliance and governance : evidence from financial institutions in Taiwan
Liang, Shao-Huai; Lin, Hsuan-Chu; Hsiao, Hui-Yu - In: Journal of financial regulation and compliance 31 (2023) 3, pp. 298-315
Persistent link: https://www.econbiz.de/10014286255
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Legal Data for Banking : Business Optimisation and Regulatory Compliance
Datoo, Akber - 2019
Cover -- Title Page -- Copyright -- Contents -- Preface -- Acknowledgements -- Chapter 1 The Role of Data in a Financial Crisis -- The Financial Crisis - Looking Back -- Causes of the Financial Crisis -- Systemic Financial Contagion -- The Legal Data Consequence -- Bibliography -- Chapter 2 The...
Persistent link: https://www.econbiz.de/10012686023
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Applying Agile Methodology to Regulatory Compliance Projects in the Financial Industry : A Case Study Research
Beerbaum, Dirk - 2021
We investigate the application of agile methodology to regulatory compliance projects. Regulatory compliance projects normally apply waterfall approach given the regulatory explicit specified requirements. We identify the major advantages and disadvantages. The findings have implications for...
Persistent link: https://www.econbiz.de/10013229776
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Regulation, compliance and penalty : an analysis of Indian commercial banks
Das, Manas Ranjan - In: Praj̄nȧn : journal of social and management sciences 52 (2023/24) 3, pp. 241-266
Persistent link: https://www.econbiz.de/10015077267
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Institutional theory and evolution of "a legitimate" compliance culture : the case of the UK financial service sector
Burdon, Wendy Mason; Sorour, Mohamed Karim - In: Journal of business ethics : JBE 162 (2020) 1, pp. 47-80
Persistent link: https://www.econbiz.de/10012208207
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Compliance nach MiFID : die neue Positionierung des Compliance-Beauftragten in der Bank
Brinkmann, Michael - In: Bank-Praktiker : rechtssicher, revisionsfest, risikogerecht (2008) 12, pp. 572-577
Persistent link: https://www.econbiz.de/10003779566
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Datenschutzrechts-Compliance in der Bank : die wichtigsten datenschutzrechtlichen Themen für Kreditinstitute
Knyrim, Rainer - In: Bank-Archiv : Zeitschrift für das gesamte Bank- und … 55 (2007) 6, pp. 476-488
Persistent link: https://www.econbiz.de/10003490589
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"US persons" - Geschäftsbeziehungen mit erhöhtem Risiko?
Honold, Peter J. - In: Close up on Compliance : Recht, Moral und Risiken ; …, (pp. 109-119). 2009
Persistent link: https://www.econbiz.de/10003914759