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Keywords: Substituted compliance
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2016) 17 (3): 31–38.
Published: 05 September 2016
... and Door LLP. All rights reserved. 2016 Wilmer Cuttler Pickering Hale and Door LLP. (2016) Licensed re-use rights only Business Conduct Rules Security-based swap dealer Swap dealer Chief compliance officer Substituted compliance Security-based swaps The Securities and Exchange...
