...Gabriella Opromolla; Michela Maccarini Purpose The purpose of this paper is to analyze the application of the rules governing the control system in the banking sector, particularly with respect to the impact of Legislative Decree No. 231 of June 8, 2001. Design/methodology/approach The paper...

... for understanding all types of swaps. First, one must understand the fundamental characteristics of the swap, and second, possess at least a basic comprehension of the economic intention of the swap. Investments Exchange Control systems Understanding the fundamental characteristics of a specific swap...

... and New York Stock Exchange supervisory control system requirements and supervisory requirements for branch offices and other locations, and suggests guidelines for developing a branch office or remote office supervisory program. Findings In the current regulatory environment, no broker‐dealer should...