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Governance, Compliance and Supervision in the Capital Markets: + Website
Sarah Swammy
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Description for Governance, Compliance and Supervision in the Capital Markets: + Website
Hardback. Series: Wiley Finance. Num Pages: 304 pages. BIC Classification: KF. Category: (P) Professional & Vocational. Weight in Grams: 666.
The definitive guide to capital markets regulatory compliance Governance, Compliance, and Supervision in the Capital Markets demystifies the regulatory environment, providing a practical, flexible roadmap for compliance. Banks and financial services firms are under heavy regulatory scrutiny, and must implement comprehensive controls to comply with new rules that are changing the way they conduct business. This book provides a way forward, with clear, actionable guidance that strengthens governance at all levels, and balances supervisory and compliance requirements with the need to do business. From regulatory schemes to individual roles and responsibilities, this invaluable guide details the ... Read more
The definitive guide to capital markets regulatory compliance Governance, Compliance, and Supervision in the Capital Markets demystifies the regulatory environment, providing a practical, flexible roadmap for compliance. Banks and financial services firms are under heavy regulatory scrutiny, and must implement comprehensive controls to comply with new rules that are changing the way they conduct business. This book provides a way forward, with clear, actionable guidance that strengthens governance at all levels, and balances supervisory and compliance requirements with the need to do business. From regulatory schemes to individual roles and responsibilities, this invaluable guide details the ... Read more
Product Details
Publisher
John Wiley & Sons Inc
Format
Hardback
Publication date
2018
Series
Wiley Finance
Condition
New
Weight
665g
Number of Pages
176
Place of Publication
New York, United States
ISBN
9781119380658
SKU
V9781119380658
Shipping Time
Usually ships in 7 to 11 working days
Ref
99-1
About Sarah Swammy
SARAH SWAMMY is a Senior Vice President and Chief Operating Officer for the Portfolio Solutions businesses both in State Street Global Market, LLC, a registered broker-dealer subsidiary of State Street Bank and Trust, and in State Street Bank and Trust. She is also a member of the Global Markets Business Risk Committee. Sarah joined State Street from BNY Mellon where ... Read more
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