Financial Regulation and Compliance (eBook)

How to Manage Competing and Overlapping Regulatory Oversight

H. David Kotz (Autor)

eBook Download: EPUB

2015 | 1. Auflage
256 Seiten
John Wiley & Sons (Verlag)
978-1-118-97222-9 (ISBN)

Infos

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
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
confronting federal agencies and self-regulatory organizations and
describes how commenting on issues that affect your business area
can be productive or not. The companion website includes a glossary
of terms, regulations and government guidance, relevant case law,
research databases, and FAQs about various topics, giving you a
complete solution for keeping abreast of evolving compliance
issues.

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.

Autor

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 broker-dealers, investment advisers, hedge funds, insurance companies and banks. He also serves as a compliance monitor for firms that have entered into deferred prosecution agreements and similar arrangements with government agencies. Previously, Kotz served as the Inspector General of the Securities and Exchange Commission (SEC).

Produkt-Details

• Erscheint lt. Verlag: 6.7.2015
• Reihe/Serie: Wiley Finance Series
• Reihe/Serie: Wiley Finance Series
• Sprache: englisch
• Themenwelt: Recht / Steuern ► EU / Internationales Recht
• Themenwelt: Recht / Steuern ► Wirtschaftsrecht ► Bank- und Kapitalmarktrecht
• Themenwelt: Wirtschaft ► Betriebswirtschaft / Management ► Finanzierung
• Schlagworte: Accounting • Corporate Finance • Finance & Investments • Finanz- u. Anlagewesen • Insurance & Risk Management • Rechnungswesen • Risikomanagement • Versicherungswesen u. Risikomanagement
• ISBN-10: 1-118-97222-8 / 1118972228
• ISBN-13: 978-1-118-97222-9 / 9781118972229