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The compliance director, a lawyer, patiently explains that as an employee of the manager there is little he can do other than discuss the matter with senior management-a small group which includes the guilty portfolio manager.
FORBES: Hidden Crimes; Too Many Secrets: How Money Managers Hide Illegalities From Investors (August 1, 2000)
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Among this select group of small funds, Appalachian Asset Management in Charleston, W.Va. shows how it is done.
FORBES: The Frugal Investor
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Today, he's a 44-year-old captain for the department and a member of the city's incident-management team, a small, highly trained group set up after Sept. 11.
NPR: After Sept. 11, a Firefighter Answers Call to Lead
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Small process improvements are considered through the relevant line management, not by a corporate group.
FORBES: How to Keep Big Ideas Big