Broker-Dealer Compliance (eBook)

A Case-based Guide to Compliance Program Elements and Practices

James A. Fanto (Autor)

eBook Download: PDF

2023
Edward Elgar Publishing (Verlag)
978-1-80088-957-6 (ISBN)

Infos

Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.James Fanto discusses the main, well-established elements and practices in a broker-dealer compliance program and illustrates them with case studies and practical examples drawn from real-life situations to demonstrate the goals of a particular program element and problems in its implementation. Moreover, each chapter highlights the pressures on compliance officers and the trends that collectively may transform compliance practice in a particular area.Professionals in broker-dealer and investment firm compliance practice will find this book a readable introduction to the field. Experienced practitioners can refresh their knowledge and even learn something new about brokerage compliance program elements and practices.

Produkt-Details

• Erscheint lt. Verlag: 21.4.2023
• Sprache: englisch
• Themenwelt: Recht / Steuern ► EU / Internationales Recht
• Themenwelt: Recht / Steuern ► Wirtschaftsrecht ► Bank- und Kapitalmarktrecht
• Themenwelt: Recht / Steuern ► Wirtschaftsrecht ► Gesellschaftsrecht
• ISBN-10: 1-80088-957-7 / 1800889577
• ISBN-13: 978-1-80088-957-6 / 9781800889576