Cross‐border regulatory issues achieving good compliance in an international environment
Journal of Financial Regulation and Compliance
ISSN: 1358-1988
Article publication date: 1 April 1997
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
Publisher
:MCB UP Ltd
Copyright © 1997, MCB UP Limited