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Keywords: Costs
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2006) 7 (3): 67–69.
Published: 01 July 2006
... be contacted at: Tim.Duck@cclcompliance.com © Emerald Group Publishing Limited 2006 Costs Small enterprises The FSA has stated its intention to move towards “principles‐based supervision.” This will have an effect on all regulatory requirements for small firms, not least retail and wholesale...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2005) 6 (3): 4–22.
Published: 01 July 2005
... conflicts of interest and coordinating adherence to the varying legal requirements or customs in different jurisdictions. Costs Risk management Finance Accounting Many compliance departments, in conjunction with business units, also proactively review business activities to identify...
