April 18, 2013

Thesaurus : Doctrine


Doing the Right Thing: Compliance That Works for Investors

Complete reference: Aguilar, L., Doing the Right Thing: Compliance That Works for Investors, transcript of a conference by this Commissioner of the US Securities and Exchange Commission (SEC) before the Regulatory Compliance Association (ROC), which is a professional association which offers training programs to thousands of people on the subject of 78,000 Compliance.

The conference was held in New York, April 18, 2013.

Validation of the transcription in 2014.

The conference author, SEC Commissioner, refers to Roosevelt's statement that the best thing to do is to do the right thing. In this matter, when things get too complex, compliance is for the company to protect investors.

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