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News & Commentary
Content tagged with Compliance posted in December 2003
Firms Better "Get the Message" About IM
News  |  12/11/2003  | 
Any firms that feel regulators should treat IM differently than e-mail had better think again.
Mutual Fund Maintenance
News  |  12/4/2003  | 
The SEC has offered suggestions on how to tidy up the industry's mutual-fund mess.
From the Top Down: Getting Management on Board With Compliance
News  |  12/4/2003  | 
Why all the focus on compliance? Simple: Management is charged with protecting their firms' reputations " which translates to customer relationships and shareholder value. Business is at stake, and compliance has taken center stage.

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