×


 x 

Shopping cart
H. David Kotz - Financial Regulation and Compliance, + Website: How to Manage Competing and Overlapping Regulatory Oversight - 9781118972212 - V9781118972212
Stock image for illustration purposes only - book cover, edition or condition may vary.

Financial Regulation and Compliance, + Website: How to Manage Competing and Overlapping Regulatory Oversight

€ 49.24
FREE Delivery in Ireland
Description for Financial Regulation and Compliance, + Website: How to Manage Competing and Overlapping Regulatory Oversight Hardcover. Devise an organized, proactive approach to financial compliance Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities. Series: The Wiley Finance Series. Num Pages: 256 pages. BIC Classification: KFF; LNP. Category: (P) Professional & Vocational. Dimension: 238 x 161 x 25. Weight in Grams: 452.
Devise an organized, proactive approach to financial compliance

Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities. Written by David Kotz, former Inspector General of the SEC with additional guidance provided by leading experts, this book is a one-stop resource for navigating the numerous regulations that have been enacted in response to the financial crisis. You'll learn how best to defend your organization from SEC, CFTC, FINRA, and NFA Enforcement actions, how to prepare for SEC, FINRA, and NFA regulatory examinations, how to manage the increasing volume of ... Read more

These days, compliance professionals are faced with a myriad of often overlapping regulatory challenges. Increased aggressiveness on the part of regulators has led to increased demand on financial firms, but this book provides clear insight into navigating the changes and building a more robust compliance function.

  • Strengthen internal compliance and governance programs
  • Manage whistleblower programs and conduct effective investigations
  • Understand how to minimize exposure and liability from Enforcement actions
  • Learn how to prepare for the different types of regulatory examinations
  • Minimize exposure from FCPA violations
  • Understand the pros and cons of commenting on regulations

The volume and pace of regulatory change is causing new and diverse pressures on compliance professionals. Navigate the choppy waters successfully with the insider guidance in Financial Regulation and Compliance.

Show Less

Product Details

Format
Hardback
Publication date
2015
Publisher
John Wiley & Sons Inc
Condition
New
Series
The Wiley Finance Series
Number of Pages
256
Place of Publication
New York, United States
ISBN
9781118972212
SKU
V9781118972212
Shipping Time
Usually ships in 7 to 11 working days
Ref
99-50

About H. David Kotz
H. DAVID KOTZ serves as a Managing Director at Berkeley Research Group (BRG), an international expert services and consulting firm that offers independent expert testimony, litigation and regulatory support, authoritative studies, strategic advice, and document and data analytics. At BRG, Kotz focuses on internal investigations and consults with and provides expert testimony on the regulation of and securities trading by ... Read more

Reviews for Financial Regulation and Compliance, + Website: How to Manage Competing and Overlapping Regulatory Oversight

Goodreads reviews for Financial Regulation and Compliance, + Website: How to Manage Competing and Overlapping Regulatory Oversight


Subscribe to our newsletter

News on special offers, signed editions & more!