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Financial Regulation and Compliance, + Website

By Kotz, H David

Financial Regulation and Compliance, + Website Law

Financial Regulation and Compliance, + Website

0 - Default Title
Description
The tremendous volume and accelerated pace of regulatory change combined with overlapping requirements and the increased aggressiveness on the part of regulators has led to a greater demand for compliance on the part of financial firms. In order to respond appropriately to regulatory requirements, companies must develop effective policies and procedures, ensure internal accountability, and establish an ethical culture throughout the organization. Financial Regulation and Compliance and its companion website provide a comprehensive guide for managing overlapping and new regulatory responsibilities. Author David Kotz - former Inspector General of the SEC - with support from leading expert contributors, has written an important resource for navigating the numerous regulations that have been enacted in response to the financial crisis and offers the necessary tools to meet the challenge of confusing regulatory requirements. Using this resource, compliance professionals will have a clear understanding of how to defend their organizations from SEC, CFTC, FINRA, and NFA enforcement actions and will receive guidance for preparing for SEC, FINRA, and NFA regulatory examinations. In addition, the author offers important information for managing the increasing volume of whistleblower complaints, reducing FCPA exposure, and shows how to efficiently and effectively conduct an internal investigation in order to respond appropriately to regulatory requirements. Kotz includes a thorough discussion of the regulatory process and explains how assertive to be when confronting each particular federal agency and self-regulatory organization. He explains how to establish collegial and positive relationships with regulators by understanding their unique regulatory mission, perspective and processes, listening to concerns, being organized, open, and responsive in regulatory communications, and demonstrating that the mutual goal is full compliance. The companion website includes a glossary of terms, research databases, which include regulations and governmental guidance, and FAQs about various topics covered in the text. It also offers a solution for keeping abreast of evolving compliance issues. Financial Regulation and Compliance provides clear insight for understanding compliance changes in order to build a more robust compliance function.
Product details
Edition:
1
Number of Pages:
256
Release Date:
2015-08-14
Publication Date:
2015-08-03
Publisher:
Wiley
Languages:
Original: English
ISBN10:
111897221X
ISBN13:
9781118972212
GPSR Manufacturer Reference:
[email protected]
Weight:
520 g
Height:
157 cm
Width:
235 cm
Thickness:
18 cm
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