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Journal of Investment Compliance logo

Publisher: Emerald Group Publishing Limited

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Volume 4, Number 2, 2003

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The selling away case: Rethinking the firm’s defenses
pp. 7-14(8)
Authors: J. Frumento, Aegis; Korenman, Stephanie

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Untoward employee whistleblower claims under Sarbanes-Oxley
pp. 25-30(6)
Authors: Bryson, Cheryl; Bramnik, Robert; Lutner, Rachel

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The compliance gap
pp. 31-38(8)

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It’s the cover-up that will get you!
pp. 39-44(6)
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SEC guidance on broker-dealer expense-sharing arrangements
pp. 60-62(3)
Author: Cohen, Lawrence

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Breakpoints: The need for education and technology
pp. 69-71(3)
Author: M. Graham II, Nelson

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