TY  - JOUR
AB  - Supervision remains a significant issue in our regulatory framework. The cases surrounding this concept are ongoing and the law evolving. This article explores the newer “red flag” supervision cases; discussing the implications and the duties that perhaps attach as a result of this developing case law. It also explores some concrete examples of what supervisors should do when confronted with relevant information.
VL  - 1
IS  - 3
SN  - 1528-5812
DO  - 10.1108/eb045881
UR  - https://doi.org/10.1108/eb045881
AU  - Weiss Harry J.
AU  - Zimmerman Jolie F.
PY  - 2000
Y1  - 2000/01/01
TI  - Trends in Failure to Supervise Cases: Responding to Red Flags
T2  - Journal of Investment Compliance
PB  - MCB UP Ltd
SP  - 11
EP  - 15
Y2  - 2024/09/25
ER  -