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Supervisory controls

Joan L. Lavell (J. Lavell & Associates, Inc., Boulder, CO USA;

Journal of Investment Compliance

ISSN: 1528-5812

Article publication date: 1 July 2004



The focus on supervision began in the 80’s when the insider trading scandal resulted in visions of Wall Street investment bankers in handcuffs being led away from their offices. The New York Stock Exchange was on the hot seat for perceived failings. The 90s were dominated by the “price‐fixing” scandal in the over‐the‐counter markets, with OTC traders and the NASD sharing the limelight. Then there were mutual fund late trading, research, variable annuities, 529 college savings plans, etc., Now a branch manager in Cleveland, Ohio has precipitated a new wave of supervisory rules.



Lavell, J.L. (2004), "Supervisory controls", Journal of Investment Compliance, Vol. 5 No. 3, pp. 31-34.



Emerald Group Publishing Limited

Copyright © 2004, Emerald Group Publishing Limited

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