Found: 15
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The Vanishing Supervisor.
- Published in:
- Journal of Corporation Law, 2015, v. 41, n. 1, p. 117
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- Article
LOOKING FORWARD: PROFESSOR ROBERTA KARMEL'S PRESCIENT VIEWS ON THE TRANSFORMATION OF SELF-REGULATORY ORGANIZATIONS AND OF THE SECURITIES MARKET STRUCTURE AT THE TURN OF THE LAST CENTURY.
- Published in:
- Brooklyn Journal of Corporate, Financial & Commercial Law, 2021, v. 16, n. 1, p. 123
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- Article
SYMPOSIUM INTRODUCTION: A TRIBUTE TO ROBERTA KARMEL.
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- Brooklyn Journal of Corporate, Financial & Commercial Law, 2021, v. 16, n. 1, p. 1
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- Article
EMERGING TRENDS IN CORPORATE ENFORCEMENT AND CORPORATE COMPLIANCE: SYMPOSIUM INTRODUCTION.
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- Brooklyn Journal of Corporate, Financial & Commercial Law, 2020, v. 14, n. 1, p. 1
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- Article
DASHBOARD COMPLIANCE: BENEFIT, THREAT, OR BOTH?
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- Brooklyn Journal of Corporate, Financial & Commercial Law, 2016, v. 11, n. 1, p. 1
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- Article
ADVISING COMPLIANCE IN FINANCIAL FIRMS: A NEW MISSION FOR THE LEGAL ACADEMY.
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- Brooklyn Journal of Corporate, Financial & Commercial Law, 2013, v. 8, n. 1, p. 1
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- Article
THE GOVERNING AUTHORITY'S RESPONSIBILITIES IN COMPLIANCE AND RISK MANAGEMENT, AS SEEN IN THE AMERICAN LAW INSTITUTE'S DRAFT PRINCIPLES OF COMPLIANCE, RISK MANAGEMENT, AND ENFORCEMENT.
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- Temple Law Review, 2018, v. 90, n. 4, p. 699
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- Article
A Social Defense of Sarbanes-Oxley.
- Published in:
- New York Law School Law Review, 2008, v. 52, n. 4, p. 517
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- Article
ORGANIZATIONAL LIABILITY.
- Published in:
- Journal of Law & Policy, 2010, v. 19, n. 1, p. 45
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- Article
FINANCIAL REGULATION REFORM: MAINTAINING THE STATUS QUO.
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- Brooklyn Journal of International Law, 2010, v. 35, n. 3, p. 635
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- Article
We're all capitalists now: The importance, nature, provision and regulation of investor education.
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- Case Western Reserve Law Review, 1998, v. 49, n. 1, p. 105
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- Article
Surveillant and Counselor: A Reorientation in Compliance for Broker-Dealers.
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- Brigham Young University Law Review, 2014, v. 2014, n. 5, p. 1121
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- Article
"BREAKING UP IS HARD TO DO": SHOULD FINANCIAL CONGLOMERATES BE DISMANTLED?
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- University of Cincinnati Law Review, 2010, v. 79, n. 2, p. 553
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- Article
JUSTIFYING BOARD DIVERSITY.
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- North Carolina Law Review, 2011, v. 89, n. 3, p. 901
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- Article
THE PROFESSIONALIZATION OF COMPLIANCE: ITS PROGRESS, IMPEDIMENTS, AND OUTCOMES.
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- Notre Dame Journal of Law, Ethics & Public Policy, 2021, v. 35, n. 1, p. 183
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- Article