Financial Regulation and Compliance

Beschreibung

Devise an organized, proactive approach to financialcompliance Financial Regulation and Compliance provides detailed,step-by-step guidance for the compliance professional seeking tomanage overlapping and new regulatory responsibilities. Written byDavid Kotz, former Inspector General of the SEC with additionalguidance provided by leading experts, this book is a one-stopresource for navigating the numerous regulations that have beenenacted in response to the financial crisis. You'll learn how bestto defend your organization from SEC, CFTC, FINRA, and NFAEnforcement actions, how to prepare for SEC, FINRA, and NFAregulatory examinations, how to manage the increasing volume ofwhistleblower complaints, how to efficiently and effectivelyinvestigate these complaints, and more. Detailed discussion of theregulatory process explains how aggressive you should be inconfronting federal agencies and self-regulatory organizations anddescribes how commenting on issues that affect your business areacan be productive or not. The companion website includes a glossaryof terms, regulations and government guidance, relevant case law,research databases, and FAQs about various topics, giving you acomplete solution for keeping abreast of evolving complianceissues. These days, compliance professionals are faced with a myriad ofoften overlapping regulatory challenges. Increased aggressivenesson the part of regulators has led to increased demand on financialfirms, but this book provides clear insight into navigating thechanges and building a more robust compliance function. * Strengthen internal compliance and governance programs * Manage whistleblower programs and conduct effectiveinvestigations * Understand how to minimize exposure and liability fromEnforcement actions * Learn how to prepare for the different types of regulatoryexaminations * Minimize exposure from FCPA violations * Understand the pros and cons of commenting on regulations The volume and pace of regulatory change is causing new anddiverse pressures on compliance professionals. Navigate the choppywaters successfully with the insider guidance in FinancialRegulation and Compliance.

Autor*in

H. David Kotz

Themen in »Financial Regulation and Compliance«

Accounting Corporate Finance Finance & Investments Finanz- u. Anlagewesen Insurance & Risk Management Rechnungswesen Risikomanagement Versicherungswesen u. Risikomanagement

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