compliance

Cheat Sheet: MiFID

Cheat Sheet And many players - including the Financial Services Authority (FSA) in the UK - have warned the costs of compliance may well outweigh the benefits. Having said that, big players such as Barclays Capital have been extremely busy working towards...

Tags: mifid

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[05 Jun 2007]

Cheat Sheet: Sarbanes-Oxley

Cheat Sheet Other measures regulate the responsibilities of audit committees sent in to check the health of companies' compliance. It's the name of a piece of US compliance legislation, with global implications, which was signed off in 2002 and is soon to 'go...

Tags: oxley, sarbanes, compliance, sec

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[10 Jun 2004]