000			04656cam a2200505 i 4500
001			u12550
003			SA-PMU
005			20210418123648.0
008			150504s2015 nju b 001 0 eng
010			_a 2015017704
040			_aDLC _beng _erda _cDLC _dYDX _dBTCTA _dBDX _dYDXCP _dOCLCF _dCLE _dGUB _dOCLCQ
020			_a9781118972212 _q(hardback)
020			_a111897221X _q(hardback)
035			_a(OCoLC)898530260
042			_apcc
043			_an-us---
050	0	0	_aKF974 _b.K68 2015
082	0	0	_a346.73/08 _223
100	1		_aKotz, H. David, _eauthor.
245	1	0	_aFinancial regulation and compliance : _bhow to manage competing and overlapping regulatory oversight / _cH. David Kotz.
264		1	_aHoboken, New Jersey : _bWiley, _c[2015]
300			_axxv, 222 pages ; _c24 cm.
336			_atext _btxt _2rdacontent
337			_aunmediated _bn _2rdamedia
338			_avolume _bnc _2rdacarrier
490	1		_aThe Wiley finance series
520			_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.
504			_aIncludes bibliographical references and index.
505	0		_aJurisdiction 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.
650		0	_aFinancial institutions _xLaw and legislation _zUnited States.
650		7	_aFinancial institutions _xLaw and legislation. _2fast _0(OCoLC)fst00924669
651		7	_aUnited States. _2fast _0(OCoLC)fst01204155
776	0	8	_iOnline version: _aKotz, H. David. _tFinancial regulation and compliance. _dHoboken, New Jersey : Wiley, 2015 _z9781118972236 _w(DLC) 2015018784
830		0	_aWiley finance series.
856	4	2	_3Cover image _uhttp://catalogimages.wiley.com/images/db/jimages/9781118972212.jpg
938			_aBrodart _bBROD _n111780241
938			_aBaker and Taylor _bBTCP _nBK0016245285
938			_aYBP Library Services _bYANK _n12188473
029	1		_aCHBIS _b010498359
029	1		_aCHVBK _b338684395
942			_cBOOK
994			_aZ0 _bSUPMU
948			_hNO HOLDINGS IN SUPMU - 57 OTHER HOLDINGS
596			_a1 2
999			_c4073 _d4073