| 000 -LEADER |
|---|
| fixed length control field |
04656cam a2200505 i 4500 |
| 001 - CONTROL NUMBER |
|---|
| control field |
u12550 |
| 003 - CONTROL NUMBER IDENTIFIER |
|---|
| control field |
SA-PMU |
| 005 - DATE AND TIME OF LATEST TRANSACTION |
|---|
| control field |
20210418123648.0 |
| 008 - FIXED-LENGTH DATA ELEMENTS--GENERAL INFORMATION |
|---|
| fixed length control field |
150504s2015 nju b 001 0 eng |
| 010 ## - LIBRARY OF CONGRESS CONTROL NUMBER |
|---|
| LC control number |
2015017704 |
| 040 ## - CATALOGING SOURCE |
|---|
| Original cataloging agency |
DLC |
| Language of cataloging |
eng |
| Description conventions |
rda |
| Transcribing agency |
DLC |
| Modifying agency |
YDX |
| -- |
BTCTA |
| -- |
BDX |
| -- |
YDXCP |
| -- |
OCLCF |
| -- |
CLE |
| -- |
GUB |
| -- |
OCLCQ |
| 020 ## - INTERNATIONAL STANDARD BOOK NUMBER |
|---|
| International Standard Book Number |
9781118972212 |
| Qualifying information |
(hardback) |
| 020 ## - INTERNATIONAL STANDARD BOOK NUMBER |
|---|
| International Standard Book Number |
111897221X |
| Qualifying information |
(hardback) |
| 035 ## - SYSTEM CONTROL NUMBER |
|---|
| System control number |
(OCoLC)898530260 |
| 042 ## - AUTHENTICATION CODE |
|---|
| Authentication code |
pcc |
| 043 ## - GEOGRAPHIC AREA CODE |
|---|
| Geographic area code |
n-us--- |
| 050 00 - LIBRARY OF CONGRESS CALL NUMBER |
|---|
| Classification number |
KF974 |
| Item number |
.K68 2015 |
| 082 00 - DEWEY DECIMAL CLASSIFICATION NUMBER |
|---|
| Classification number |
346.73/08 |
| Edition number |
23 |
| 029 1# - OTHER SYSTEM CONTROL NUMBER (OCLC) |
|---|
| OCLC library identifier |
CHBIS |
| System control number |
010498359 |
| 029 1# - OTHER SYSTEM CONTROL NUMBER (OCLC) |
|---|
| OCLC library identifier |
CHVBK |
| System control number |
338684395 |
| 100 1# - MAIN ENTRY--PERSONAL NAME |
|---|
| Personal name |
Kotz, H. David, |
| Relator term |
author. |
| 245 10 - TITLE STATEMENT |
|---|
| Title |
Financial regulation and compliance : |
| Remainder of title |
how to manage competing and overlapping regulatory oversight / |
| Statement of responsibility, etc. |
H. David Kotz. |
| 264 #1 - PRODUCTION, PUBLICATION, DISTRIBUTION, MANUFACTURE, AND COPYRIGHT NOTICE |
|---|
| Place of production, publication, distribution, manufacture |
Hoboken, New Jersey : |
| Name of producer, publisher, distributor, manufacturer |
Wiley, |
| Date of production, publication, distribution, manufacture, or copyright notice |
[2015] |
| 300 ## - PHYSICAL DESCRIPTION |
|---|
| Extent |
xxv, 222 pages ; |
| Dimensions |
24 cm. |
| 336 ## - CONTENT TYPE |
|---|
| Content type term |
text |
| Content type code |
txt |
| Source |
rdacontent |
| 337 ## - MEDIA TYPE |
|---|
| Media type term |
unmediated |
| Media type code |
n |
| Source |
rdamedia |
| 338 ## - CARRIER TYPE |
|---|
| Carrier type term |
volume |
| Carrier type code |
nc |
| Source |
rdacarrier |
| 490 1# - SERIES STATEMENT |
|---|
| Series statement |
The Wiley finance series |
| 520 ## - SUMMARY, ETC. |
|---|
| Summary, etc. |
"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"-- |
| Assigning source |
Provided by publisher. |
| 504 ## - BIBLIOGRAPHY, ETC. NOTE |
|---|
| Bibliography, etc. note |
Includes bibliographical references and index. |
| 505 0# - FORMATTED CONTENTS NOTE |
|---|
| Formatted contents note |
Jurisdiction of regulators -- who regulates whom and what -- How to strengthen governance and compliance in light of new regulations -- How to manage whistleblower's complaints -- How to defend SEC examinations -- How to defend FINRA examinations -- How to defend an NFA examination -- How to defend SEC enforcement actions -- How to defend FINRA enforcement actions -- How to defend CFTC enforcement actions -- How to defend NFA enforcement actions -- How to participate in the regulatory comment process -- How to defend FCPA claims -- How to conduct internal investigations. |
| 596 ## - |
|---|
| -- |
1 2 |
| 650 #0 - SUBJECT ADDED ENTRY--TOPICAL TERM |
|---|
| Topical term or geographic name entry element |
Financial institutions |
| General subdivision |
Law and legislation |
| Geographic subdivision |
United States. |
| 650 #7 - SUBJECT ADDED ENTRY--TOPICAL TERM |
|---|
| Topical term or geographic name entry element |
Financial institutions |
| General subdivision |
Law and legislation. |
| Source of heading or term |
fast |
| Authority record control number or standard number |
(OCoLC)fst00924669 |
| 651 #7 - SUBJECT ADDED ENTRY--GEOGRAPHIC NAME |
|---|
| Geographic name |
United States. |
| Source of heading or term |
fast |
| Authority record control number or standard number |
(OCoLC)fst01204155 |
| 776 08 - ADDITIONAL PHYSICAL FORM ENTRY |
|---|
| Relationship information |
Online version: |
| Main entry heading |
Kotz, H. David. |
| Title |
Financial regulation and compliance. |
| Place, publisher, and date of publication |
Hoboken, New Jersey : Wiley, 2015 |
| International Standard Book Number |
9781118972236 |
| Record control number |
(DLC) 2015018784 |
| 830 #0 - SERIES ADDED ENTRY--UNIFORM TITLE |
|---|
| Uniform title |
Wiley finance series. |
| 856 42 - ELECTRONIC LOCATION AND ACCESS |
|---|
| Materials specified |
Cover image |
| Uniform Resource Identifier |
<a href="http://catalogimages.wiley.com/images/db/jimages/9781118972212.jpg">http://catalogimages.wiley.com/images/db/jimages/9781118972212.jpg</a> |
| 938 ## - |
|---|
| -- |
Brodart |
| -- |
BROD |
| -- |
111780241 |
| 938 ## - |
|---|
| -- |
Baker and Taylor |
| -- |
BTCP |
| -- |
BK0016245285 |
| 938 ## - |
|---|
| -- |
YBP Library Services |
| -- |
YANK |
| -- |
12188473 |
| 942 ## - ADDED ENTRY ELEMENTS (KOHA) |
|---|
| Koha item type |
Books |
| 994 ## - |
|---|
| -- |
Z0 |
| -- |
SUPMU |
| 948 ## - LOCAL PROCESSING INFORMATION (OCLC); SERIES PART DESIGNATOR (RLIN) |
|---|
| h (OCLC) |
NO HOLDINGS IN SUPMU - 57 OTHER HOLDINGS |