Internal controls (41 - 47 of 47 items)
Securities Markets: Clearly Defined 'Chinese Wall' Standards Have Been Issued
GGD-91-115: Published: Aug 21, 1991. Publicly Released: Sep 20, 1991.
Financial Markets: Active Oversight of Market Automation by SEC and CFTC Needed
IMTEC-91-21: Published: Apr 2, 1991. Publicly Released: Apr 2, 1991.
Securities Industry: Additional Testing Needed to Ensure Efficient Post-Trade Processing of Stocks
IMTEC-90-83: Published: Sep 26, 1990. Publicly Released: Sep 26, 1990.
Futures Markets: Use of Automation to Detect Trade Abuses
IMTEC-90-81: Published: Aug 24, 1990. Publicly Released: Sep 25, 1990.
Strengthening Trade Practice Oversight
T-GGD-89-39: Published: Sep 8, 1989. Publicly Released: Sep 8, 1989.
Commodity Futures Trading Commission and the Chicago Futures Exchanges' Detection of Trade Practice Abuses
T-GGD-89-8: Published: Feb 23, 1989. Publicly Released: Feb 23, 1989.
Preliminary Observations on the Market Crash of October 1987
T-OCG-88-1: Published: Jan 26, 1988. Publicly Released: Jan 26, 1988.