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SEC approves new municipal advisor fiduciary duty rule

Wink, Stephen; Rienhardt, Anna; Ackerman, Brett M.; … - In: Journal of Investment Compliance 17 (2016) 2, pp. 43-49

Purpose To analyze the Municipal Securities Rulemaking Board’s new rule outlining the standards of conduct and fiduciary duties applicable to municipal advisors. Design/methodology/approach This article contains a summary of new MSRB Rule G-42 and identifies key areas where the final version...

Persistent link: https://www.econbiz.de/10014893677

SEC charges broker-dealer for failure to protect against insider trading by employees

Nathan, Daniel A.; Rowe, Tiffany - In: The journal of investment compliance 16 (2015) 1, pp. 59-62

Persistent link: https://www.econbiz.de/10011344578

Recent SEC enforcement actions put spotlight on probibited short selling

Wink, Stephen; Clark, Christopher; Paulovic, Stefan; … - In: The journal of investment compliance 15 (2014) 1, pp. 41-44

Persistent link: https://www.econbiz.de/10010366728

Validation of an employee satisfaction model : a structural equation model approach

Ledimo, Ophillia; Martins, Nico - In: Journal of governance and regulation : international … 4 (2015) 1, pp. 78-87

Persistent link: https://www.econbiz.de/10011436957

Not just a compliance program, but an effective compliance program : SEC, DOJ issue strong reminders

Ingerman, Brett; Hynes, Michael D.; Benjet, Brian H.; … - In: The journal of investment compliance 16 (2015) 4, pp. 4-5

Persistent link: https://www.econbiz.de/10011438425

SEC enforcement actions getting up close and personal

Kaplan, Matthew E.; Paley, Alan H.; Tuttle, Jonathan R. - In: The journal of investment compliance 17 (2016) 1, pp. 131-132

Persistent link: https://www.econbiz.de/10011523795

Cybersecurity : SEC is starting to scrutinize registrants' practices

Nathan, Daniel A.; Greismann, Libby J. - In: The journal of investment compliance 15 (2014) 4, pp. 4-6

Persistent link: https://www.econbiz.de/10010461411

Change management in digital environment amid the COVID-19 pandemic : a scenario from Malaysian higher education institutions

Simin Ghavifekr; Hua Yeh Fung - In: Pandemic, lockdown, and digital transformation : …, (pp. 129-158). 2021

Persistent link: https://www.econbiz.de/10012821000

New York finalizes cybersecurity regulations for financial institutions

Cedarbaum, Jonathan G.; Powell, Benjamin A.; Freeman, … - In: The journal of investment compliance 18 (2017) 2, pp. 27-30

Persistent link: https://www.econbiz.de/10011704686

2011 Annual Report Compliance Review Panel

Asian Development Bank; Asian Development Bank (ADB) - 2012

The year 2011 was a productive year for the Compliance Review Panel (CRP). The fifth and final annual monitoring of remedial actions for the Southern Transport Development Project in Sri Lanka-the first compliance review request to complete the full compliance review phase under the 2003...

Persistent link: https://www.econbiz.de/10010823369