EFFECTIVE COMPLIANCE V REGULATORY GESTATION
Journal of Financial Regulation and Compliance
ISSN: 1358-1988
Article publication date: 1 March 1993
Abstract
After first examining what compliance is, the paper goes on to look at the demands of regulators on compliance offices and, in particular, the different advice and requirements of SROs. The author considers the lack of consistency shown by regulators over training and competence, money market dealers and investigative procedures, as well as the conflict between fiduciary duties and regulatory rides, before concluding that SROs need to co‐ordinate their approaches if the problems caused by regulatory disharmony are to be overcome.
Citation
HAGLAND AMSI MIMgt, G. (1993), "EFFECTIVE COMPLIANCE V REGULATORY GESTATION", Journal of Financial Regulation and Compliance, Vol. 2 No. 1, pp. 11-21. https://doi.org/10.1108/eb024789
Publisher
:MCB UP Ltd
Copyright © 1993, MCB UP Limited