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Keywords: Enforcement proceeding
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (3): 52–58.
Published: 04 September 2017
... in the context of CFTC enforcement proceedings. Design/methodology/approach Explains the background, including the 2007 Enforcement Advisory for Companies. Explains the 2017 Enforcement Advisory for Companies and the parallel Enforcement Advisory for Individuals, including policy-based considerations...
