Cross‐border regulatory issues achieving good compliance in an international environment

Abstract

IMRO's disciplinary action against Jardine Fleming in the summer of 1996 demonstrated the problems and dangers associated with the operation and control of delegates, particularly those located in remote jurisdictions. The author, who is Head of Investigations at IMRO, explores the issues that arise when setting up such arrangements and in monitoring them once they are in place and sets out criteria for ensuring effective delegation.

Citation

Fry, F. (1997), "Cross‐border regulatory issues achieving good compliance in an international environment", Journal of Financial Regulation and Compliance, Vol. 5 No. 4, pp. 346-351. https://doi.org/10.1108/eb024945