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Hogan, Thomas L.; Burns, Scott - In: Journal of regulatory economics 55 (2019) 2, pp. 214-236

Persistent link: https://www.econbiz.de/10012134175

Second Markets in Financial Instruments Directive : firms should view the practical challenge of meeting the new record keeping, transaction reporting and best execution requiremen...

Smith, Matt - In: Journal of securities operations & custody 10 (2017/2018) 4, pp. 290-295

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A theory of financial services competition, compliance and regulation

Michael, Bryane; Falzon, Joseph; Shamdasani, Ajay - 2015

financial service firms may add to their own compliance teams or hire outside compliance advisors. We derive the conditions … under which a financial services firm will want to hire a compliance services company, and show how much money they should … compliance costs and higher profit advantages they confer may lead to more regulation. Regulators may furthermore tighten …

Persistent link: https://www.econbiz.de/10010493950

Assessing buy-side preparations for meeting derivatives reform under the European Market Infrastructure Regulation

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MiFID II compliance - are we ready?

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Persistent link: https://www.econbiz.de/10011342812

Effictive regulatory regimes : a comparative analysis of GCC financial regulators

Ramady, Mohamed A. - In: Journal of financial regulation and compliance : an … 23 (2015) 1, pp. 2-17

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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

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MiFID II and regulatory transaction reporting

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The SEC’s evolving scrutiny of private equity firms : KKR hit with an unprecedented enforcement action for broken deal expense misallocation

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Embedded supervision : how to build regulation into blockchain finance

Auer, Raphael A. - 2019

Persistent link: https://www.econbiz.de/10012100850

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