LEADER 04269nam 2200625 450 001 9910131512203321 005 20230912142025.0 010 $a1-118-97222-8 010 $a1-118-97224-4 010 $a1-118-97223-6 035 $a(CKB)3710000000443971 035 $a(EBL)2089481 035 $a(SSID)ssj0001515279 035 $a(PQKBManifestationID)11823346 035 $a(PQKBTitleCode)TC0001515279 035 $a(PQKBWorkID)11481682 035 $a(PQKB)10268507 035 $a(DLC) 2015018784 035 $a(Au-PeEL)EBL4040260 035 $a(CaPaEBR)ebr11113518 035 $a(CaONFJC)MIL812239 035 $a(OCoLC)908839033 035 $a(CaSebORM)9781118972212 035 $a(MiAaPQ)EBC4040260 035 $a(MiAaPQ)EBC2089481 035 $a(EXLCZ)993710000000443971 100 $a20151105h20152015 uy 0 101 0 $aeng 135 $aur|n|---||||| 181 $ctxt 182 $cc 183 $acr 200 10$aFinancial regulation and compliance $ehow to manage competing and overlapping regulatory oversight /$fH. David Kotz 205 $a1st edition 210 1$aHoboken, New Jersey :$cWiley,$d2015. 210 4$dİ2015 215 $a1 online resource (251 p.) 225 1 $aWiley Finance Series 300 $aIncludes index. 311 $a1-118-97221-X 320 $aIncludes bibliographical references and index. 327 $aJurisdiction of regulators : who regulates whom and what -- How to strengthen governance and compliance in light of new regulations -- How to manage whistleblowers : complaints -- How to defend SEC examinations. 330 $a"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"--$cProvided by publisher. 410 0$aWiley finance series. 606 $aFinancial institutions$xLaw and legislation$zUnited States 615 0$aFinancial institutions$xLaw and legislation 676 $a346.73/08 700 $aKotz$b H. David$0886227 801 0$bMiAaPQ 801 1$bMiAaPQ 801 2$bMiAaPQ 906 $aBOOK 912 $a9910131512203321 996 $aFinancial regulation and compliance$91978879 997 $aUNINA LEADER 03173nam 22007095 450 001 9910482868203321 005 20251230061606.0 010 $a3-030-77256-X 024 7 $a10.1007/978-3-030-77256-7 035 $a(CKB)5590000000474415 035 $a(MiAaPQ)EBC6631291 035 $a(Au-PeEL)EBL6631291 035 $a(OCoLC)1255184124 035 $a(oapen)https://directory.doabooks.org/handle/20.500.12854/70774 035 $a(PPN)255883978 035 $a(ODN)ODN0010074465 035 $a(oapen)doab70774 035 $a(DE-He213)978-3-030-77256-7 035 $a(EXLCZ)995590000000474415 100 $a20210526d2021 u| 0 101 0 $aeng 135 $aurcnu|||||||| 181 $ctxt$2rdacontent 182 $cc$2rdamedia 183 $acr$2rdacarrier 200 10$aUncertainty in Mechanical Engineering $eProceedings of the 4th International Conference on Uncertainty in Mechanical Engineering (ICUME 2021), June 7?8, 2021 /$fedited by Peter F. Pelz, Peter Groche 205 $a1st ed. 2021. 210 1$aCham :$cSpringer International Publishing :$cImprint: Springer,$d2021. 215 $a1 online resource (313 pages) 225 1 $aLecture Notes in Mechanical Engineering,$x2195-4364 311 08$a3-030-77255-1 330 $aThis open access book reports on methods and technologies to describe, evaluate and control uncertainty in mechanical engineering applications. It brings together contributions by engineers, mathematicians and legal experts, offering a multidisciplinary perspective on the main issues affecting uncertainty throughout the complete system lifetime, which includes process and product planning, development, production and usage. The book is based on the proceedings of the 4th International Conference on Uncertainty in Mechanical Engineering (ICUME 2021), organized by the Collaborative Research Center (CRC) 805 of the TU Darmstadt, and held online on June 7?8, 2021. All in all, it offers a timely resource for researchers, graduate students and practitioners in the field of mechanical engineering, production engineering and engineering optimization. 410 0$aLecture Notes in Mechanical Engineering,$x2195-4364 606 $aEngineering design 606 $aSystem theory 606 $aDynamics 606 $aNonlinear theories 606 $aManufactures 606 $aEngineering Design 606 $aComplex Systems 606 $aApplied Dynamical Systems 606 $aMachines, Tools, Processes 615 0$aEngineering design. 615 0$aSystem theory. 615 0$aDynamics. 615 0$aNonlinear theories. 615 0$aManufactures. 615 14$aEngineering Design. 615 24$aComplex Systems. 615 24$aApplied Dynamical Systems. 615 24$aMachines, Tools, Processes. 676 $a620.0042 686 $aSCI055000$aTEC009000$aTEC016020$aTEC020000$2bisacsh 700 $aPelz$b Peter F$0904522 701 $aGroche$b Peter$0904523 801 0$bMiAaPQ 801 1$bMiAaPQ 801 2$bMiAaPQ 906 $aBOOK 912 $a9910482868203321 996 $aUncertainty in Mechanical Engineering$92022484 997 $aUNINA