-
We maintain the highest ethical standards, comply with all applicable laws and regulations, and respect local and national cultures.
FORBES: Readers Say
-
BlackRock "maintains a rigorous compliance program...designed to assist BlackRock and its employees to comply with all applicable laws and regulations, " says its spokeswoman.
WSJ: The Intelligent Investor: Can 'Skin in the Game' Pose Conflicts?
-
Management is responsible for establishing and maintaining internal control to achieve the objectives of effective and efficient operations, reliable financial reporting, and compliance with applicable laws and regulations.
WHITEHOUSE: OMB Circular A-123 - Management's Responsibility for Internal Control | The White House
-
From February 1, 2009, through November 30, 2011, BIFS allegedly failed to maintain written supervisory procedures reasonably designed to achieve compliance with applicable securities laws and regulations, and utilized recruiting and hiring guidelines that were inaccurate and inadequate regarding the hiring and registration of statutorily disqualified persons.
FORBES: Stockbroker Convicted Of Motor Vehicle Felony Poses Reporting Problems For Brokerage Employer
-
Morgan Stanley is committed to robust compliance with both the letter and the spirit of all applicable regulations and laws.
FORBES: Morgan Stanley Hit With $5 Million Fine Over Facebook IPO
-
In a statement, the US Attorney's Office in the District of Columbia insisted it took seriously its obligations to "follow all applicable laws, federal regulations, and Department of Justice policies".
BBC: Associated Press condemns US telephone record seizure