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Keywords: Discipline
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Journal Articles
Journal of Financial Regulation and Compliance (2002) 10 (3): 284–289.
Published: 01 September 2002
... against approved persons, as well as authorised firms. This paper examines the circumstances in which senior managers may find themselves personally culpable for regulatory breaches and become the subject of disciplinary proceedings. © MCB UP Limited 2002 Senior managers Discipline Financial...
