This study analyse the state and the evolving scenario of the Compliance function by banks and investment companies. It is the first time that in an empirical study Compliance risk focuses on the evolution of the investment services, showing the contribution of the Compliance function during the implementation phase of the MiFID European Directive2, within the reality of different companies, established in Italy. The research has looked at the present state and the progressive scenario of how banks and investment companies have put compliance into practice.

Gabbi, G., D., P., P., M., M., P., & P., S. (2008). Compliance Risk in the evolution of the investiment services: an empirical study. NOTIZIE DI POLITEIA, 89, 232-250.

Compliance Risk in the evolution of the investiment services: an empirical study

GABBI, GIAMPAOLO;
2008

Abstract

This study analyse the state and the evolving scenario of the Compliance function by banks and investment companies. It is the first time that in an empirical study Compliance risk focuses on the evolution of the investment services, showing the contribution of the Compliance function during the implementation phase of the MiFID European Directive2, within the reality of different companies, established in Italy. The research has looked at the present state and the progressive scenario of how banks and investment companies have put compliance into practice.
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Utilizza questo identificativo per citare o creare un link a questo documento: http://hdl.handle.net/11365/7732
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