The Market Conduct Examination Guide: regulators and examiners
Author: Alan J. Schmitz
Publisher:
Published: 2002-03
Total Pages:
ISBN-13:
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Author: Alan J. Schmitz
Publisher:
Published: 2002-03
Total Pages:
ISBN-13:
DOWNLOAD EBOOKAuthor: Alan J. Schmitz
Publisher:
Published: 2001-03
Total Pages:
ISBN-13:
DOWNLOAD EBOOKAuthor: Alan J. Schmitz
Publisher:
Published:
Total Pages:
ISBN-13:
DOWNLOAD EBOOKAuthor: H. David Kotz
Publisher: John Wiley & Sons
Published: 2015-08-03
Total Pages: 248
ISBN-13: 111897221X
DOWNLOAD EBOOKDevise 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.
Author:
Publisher: DIANE Publishing
Published:
Total Pages: 53
ISBN-13: 1428941940
DOWNLOAD EBOOKAuthor: Naic
Publisher:
Published: 2018-11-11
Total Pages:
ISBN-13: 9781641790116
DOWNLOAD EBOOKAuthor: American Bar Association. House of Delegates
Publisher: American Bar Association
Published: 2007
Total Pages: 216
ISBN-13: 9781590318737
DOWNLOAD EBOOKThe Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Author: United States. National Credit Union Administration
Publisher:
Published: 1997
Total Pages: 602
ISBN-13:
DOWNLOAD EBOOKAuthor: CFA Institute
Publisher:
Published: 2014-06
Total Pages:
ISBN-13: 9780938367857
DOWNLOAD EBOOKAuthor:
Publisher:
Published: 2003
Total Pages: 128
ISBN-13:
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