| 1541983 |
The role of compliance
Securities Industry Association, Compliance & Legal Division
(pp. 4-22)
Keywords:
Accounting,
Costs,
Finance,
Risk management
ArticleType: General review
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(130 KB)
|
| 1541984 |
Document destruction and obstruction of justice: why Arthur Andersen doesn't matter
Patrick D. Robbins, Alicia G. Huffman
(pp. 23-31)
Keywords:
Business policy,
Document management,
Laws and legislation
ArticleType: Viewpoint
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(148 KB)
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| 1541985 |
New supervisory control requirements for branch and remote offices
Amy N. Kroll, Anders W. Franzon
(pp. 32-44)
Keywords:
Control systems,
Office buildings,
Supervisory programs,
United States of America
ArticleType: General review
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(98 KB)
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| 1541986 |
IT excellence starts with governance
Nick Robinson
(pp. 45-49)
Keywords:
Communication technologies,
Governance,
Risk management
ArticleType: Viewpoint
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(51 KB)
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| 1541987 |
The impact of the Market in Financial Instruments Directive (MiFID)
Aman Jairath
(pp. 50-51)
Keywords:
European legislation,
Financial markets
ArticleType: General review
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(34 KB)
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| 1541988 |
Outsourcing: the regulatory challenge for financial services firms
Ruth M. Evans
(pp. 52-58)
Keywords:
Financial services,
Outsourcing,
United Kingdom
ArticleType: General review
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(64 KB)
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| 1541989 |
Trust an analyst? An investigation of conflicts of interest in an Australian investment bank
Alex Proimos
(pp. 59-70)
Keywords:
Australia,
Banks,
Securities
ArticleType: Case study
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(93 KB)
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| 1541990 |
State of New York versus ten investment banks
Chee Ng
(pp. 71-75)
Keywords:
Banks,
Corporate finances,
Financial management,
United States of America
ArticleType: Case study
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(58 KB)
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