Update search
Filter
- All
- Title
- Author
- Author Affiliations
- Full Text
- Abstract
- Keyword
- DOI
- ISBN
- EISBN
- ISSN
- EISSN
- Issue
- Volume
- References
Filter
- All
- Title
- Author
- Author Affiliations
- Full Text
- Abstract
- Keyword
- DOI
- ISBN
- EISBN
- ISSN
- EISSN
- Issue
- Volume
- References
Filter
- All
- Title
- Author
- Author Affiliations
- Full Text
- Abstract
- Keyword
- DOI
- ISBN
- EISBN
- ISSN
- EISSN
- Issue
- Volume
- References
Filter
- All
- Title
- Author
- Author Affiliations
- Full Text
- Abstract
- Keyword
- DOI
- ISBN
- EISBN
- ISSN
- EISSN
- Issue
- Volume
- References
Filter
- All
- Title
- Author
- Author Affiliations
- Full Text
- Abstract
- Keyword
- DOI
- ISBN
- EISBN
- ISSN
- EISSN
- Issue
- Volume
- References
Filter
- All
- Title
- Author
- Author Affiliations
- Full Text
- Abstract
- Keyword
- DOI
- ISBN
- EISBN
- ISSN
- EISSN
- Issue
- Volume
- References
NARROW
Format
Journal
Type
Date
Availability
1-3 of 3
Keywords: Governance
Close
Follow your search
Access your saved searches in your account
Would you like to receive an alert when new items match your search?
Sort by
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (1): 43–52.
Published: 02 May 2017
... into expectations for compliance with Rule 22e-4. Rachael Leah Schwartz can be contacted at: rschwartz@schiffhardin.com © 2017 Schiff Hardin LLP 2017 Schiff Hardin LLP Licensed re-use rights only Governance Mutual funds Investment Company Act of 1940 US Securities and Exchange Commission (SEC...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2006) 7 (1): 34–42.
Published: 01 January 2006
... Regulation Governance Securities United States of America New NASD and New York Stock Exchange rules demand increased upper management involvement with a broker‐dealer's processes for maintaining adequate supervisory and compliance systems, and potentially open new avenues of liability for senior...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2005) 6 (3): 45–49.
Published: 01 July 2005
...Nick Robinson Purpose To explain how information technology (IT) governance enables an organization to achieve three vital objectives: regulatory and legal compliance, operational excellence, and optimal risk management. Design/methodology/approach Describes the role in IT governance...
