SIFMA - Compliance &amp; Legal Society Article RSS http://www.sifmacl.org SIFMA - Compliance &amp; Legal Society Article RSS feed. . SIFMA - Compliance &amp; Legal Society http://www.sifmacl.org/tresources/en/images/icons/tendenci34x15.gif http://www.sifmacl.org no Copyright 2005, SIFMA - Compliance &amp; Legal Society Tendenci Membership Management Software by Schipul - The Web Marketing Company en-us noemail@sifmacl.org Thu, 09 Sep 2010 01:33:29 GMT Articles http://www.sifmacl.org/en/art/8/ <p>We are pleased to provide you with a copy of a White Paper on the Role of Compliance prepared by the SIA - Compliance &amp; Legal Division's Compliance and Legal Division Executive Committee. </p> <p>As Compliance continues to be a critical part of securities firms' self-regulatory efforts, it is very important that we establish a model for Compliance professionals throughout our industry - and we believe this White Paper to be just that model. We believe that this White Paper will provide clarity to the Compliance role, dispel some of the misconceptions within the business and regulatory communities regarding Compliance, and serve as an essential document for all <br>Compliance professionals.</p> <p>The Division Executive Committee wishes to thank specifically, Gerald Baker and Brent Taylor, who provided the leadership on this most important endeavor, The Division Executive Committee also acknowledges the valuable assistance of Ted Levine and Adam Gogolak of the law firm of Wachtell, Lipton, Rosen and Katz, We hope that Compliance professionals will find the White <br>Paper a useful guide and tool in their day-to-day activities.</p> <p>Sincerely, <br>Paul A. Merolla</p> <p>White Paper attached.</p> <br><br>Nov 1, 2005 9:00 AM Role of Compliance White Paper <p>We are pleased to provide you with a copy of a White Paper on the Role of Compliance prepared by the SIA - Compliance &amp; Legal Division's Compliance and Legal Division Executive Committee. </p> <p>As Compliance continues to be a critical part of securities firms' self-regulatory efforts, it is very important that we establish a model for Compliance professionals throughout our industry - and we believe this White Paper to be just that model. We believe that this White Paper will provide clarity to the Compliance role, dispel some of the misconceptions within the business and regulatory communities regarding Compliance, and serve as an essential document for all <br>Compliance professionals.</p> <p>The Division Executive Committee wishes to thank specifically, Gerald Baker and Brent Taylor, who provided the leadership on this most important endeavor, The Division Executive Committee also acknowledges the valuable assistance of Ted Levine and Adam Gogolak of the law firm of Wachtell, Lipton, Rosen and Katz, We hope that Compliance professionals will find the White <br>Paper a useful guide and tool in their day-to-day activities.</p> <p>Sincerely, <br>Paul A. Merolla</p> <p>White Paper attached.</p> no http://www.sifmacl.org/en/art/8/ Tue, 01 Nov 2005 13:00:00 GMT