LEADER 04269nam 2200625 450 001 9910817457203321 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 $a9910817457203321 996 $aFinancial regulation and compliance$93931574 997 $aUNINA