Financial Regulation and Compliance - Kotz H David
Devise an organized, proactive approach to financial complianceFinancial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage…
Specifikacia Financial Regulation and Compliance - Kotz H David
Devise an organized, proactive approach to financial complianceFinancial 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 whistleblower complaints, how to efficiently and effectively investigate these complaints, and more. Detailed discussion of the regulatory process explains how aggressive you should be in
Modern Financial Regulation
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