US Treasury auction compliance: How 'dealer visits' are conducted, what is discussed and Treasury expectations for auction participation.
- Published in:
- Journal of Securities Compliance, 2007, v. 1, n. 1, p. 84
- By:
- Publication type:
- Article
Works matching IS 17531780 AND DT 2007 AND VI 1 AND IP 1
Results: 10
1
2
NASD/NYSE rule harmonisation: What do the changes mean in practice?
- Published in:
- Journal of Securities Compliance, 2007, v. 1, n. 1, p. 74
- By:
- Publication type:
- Article
3
Implementing MiFID for investment firms: Many challenges, but how many opportunities?
- Published in:
- Journal of Securities Compliance, 2007, v. 1, n. 1, p. 64
- By:
- Publication type:
- Article
4
Complying with MiFID's best execution requirements: The practical issues and competitive challenges.
- Published in:
- Journal of Securities Compliance, 2007, v. 1, n. 1, p. 54
- By:
- Publication type:
- Article
5
Key components of an effective compliance programme for broker-dealers deemed trading centres under Regulation NMS.
- Published in:
- Journal of Securities Compliance, 2007, v. 1, n. 1, p. 45
- By:
- Publication type:
- Article
6
Marketing of hedge funds in the USA: Current and unresolved compliance issues.
- Published in:
- Journal of Securities Compliance, 2007, v. 1, n. 1, p. 38
- By:
- Publication type:
- Article
7
Fund mergers and pooling: Challenges and opportunities for UCITS.
- Published in:
- Journal of Securities Compliance, 2007, v. 1, n. 1, p. 29
- By:
- Publication type:
- Article
8
How broker-dealers can adapt compliance policies and procedures to accommodate changing business and regulatory requirements.
- Published in:
- Journal of Securities Compliance, 2007, v. 1, n. 1, p. 17
- By:
- Publication type:
- Article
9
Compliance risk assessments and mitigation processes: Case study of current practice at Deutsche Bank.
- Published in:
- Journal of Securities Compliance, 2007, v. 1, n. 1, p. 7
- By:
- Publication type:
- Article
10
Editorial.
- Published in:
- 2007
- By:
- Publication type:
- Editorial