independently controlled bending and compliance in two or more regions. Remote tendon‐driven actuation keeps actuator mass away from …

. Design/methodology/approach – The paper highlights the principal new compliance obligations for FINRA members set forth in …

, the first time a Foreign Account Tax Compliance Act (FATCA) violation has been charged as an “overt act” in furtherance of … impact of enhanced US regulatory obligations and implement appropriate compliance measures. These institutions must also …

a compliance professional. Design/methodology/approach – Explains the first award issued to a compliance professional … to a compliance professional, noting that individuals performing compliance, audit, and legal functions are on the front … can prevent an imminent fraud or stop an ongoing fraud. The SEC’s specific courting of compliance and audit personnel …

provide recommendations as to how a firm can develop or improve its culture of compliance. Design/methodology/approach This … disciplinary proceedings, and looks for common themes that should guide broker-dealers’ compliance. Findings This article concludes …, correspondingly, its compliance.  …

compliance obligations under the Investment Advisers Act of 1940 (Advisers Act). Design/methodology/approach Examines the update … adoption and implementation of effective compliance programs – and then raises practical considerations for robo … a listing of key issues that the SEC’s Office of Compliance Inspections and Examinations (OCIE) – which recently added …

Compliance. Originality/value – The paper assesses the FSA's recent approach toward insider trading in the UK.  …

2011; advertising, short selling, auction rate securities, and suitability; and recommends increased compliance efforts in …