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Trends in Failure to Supervise Cases Responding to Red Flags

Trends in Failure to Supervise Cases Responding to Red Flags 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. http://www.deepdyve.com/assets/images/DeepDyve-Logo-lg.png Journal of Investment Compliance Emerald Publishing

Trends in Failure to Supervise Cases Responding to Red Flags

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Publisher
Emerald Publishing
Copyright
Copyright © Emerald Group Publishing Limited
ISSN
1528-5812
DOI
10.1108/eb045881
Publisher site
See Article on Publisher Site

Abstract

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.

Journal

Journal of Investment Compliance – Emerald Publishing

Published: Mar 1, 2000

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