Read Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices (Elgar Compliance Guides)

Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices (Elgar Compliance Guides)

James A Fanto

4.9/5 (16349 ratings)

Description:Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.James Fanto discusses the main, well-established elements and practices in a broker-dealer compliance program and illustrates them with case studies and practical examples drawn from real-life situations to demonstrate the goals of a particular program element and problems in its implementation. Moreover, each chapter highlights the pressures on compliance officers and the trends that collectively may transform compliance practice in a particular area.Professionals in broker-dealer and investment firm compliance practice will find this book a readable introduction to the field. Experienced practitioners can refresh their knowledge and even learn something new about brokerage compliance program elements and practices.We have made it easy for you to find a PDF Ebooks without any digging. And by having access to our ebooks online or by storing it on your computer, you have convenient answers with Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices (Elgar Compliance Guides). To get started finding Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices (Elgar Compliance Guides), you are right to find our website which has a comprehensive collection of manuals listed.
Our library is the biggest of these that have literally hundreds of thousands of different products represented.

Pages: —

Format: PDF, EPUB & Kindle Edition

Publisher: —

Release: —

ISBN: 1800889569

Description: Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.James Fanto discusses the main, well-established elements and practices in a broker-dealer compliance program and illustrates them with case studies and practical examples drawn from real-life situations to demonstrate the goals of a particular program element and problems in its implementation. Moreover, each chapter highlights the pressures on compliance officers and the trends that collectively may transform compliance practice in a particular area.Professionals in broker-dealer and investment firm compliance practice will find this book a readable introduction to the field. Experienced practitioners can refresh their knowledge and even learn something new about brokerage compliance program elements and practices.We have made it easy for you to find a PDF Ebooks without any digging. And by having access to our ebooks online or by storing it on your computer, you have convenient answers with Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices (Elgar Compliance Guides). To get started finding Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices (Elgar Compliance Guides), you are right to find our website which has a comprehensive collection of manuals listed.
Our library is the biggest of these that have literally hundreds of thousands of different products represented.

Special Offer | $0.00

Special Offer! | $0.00

Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices (Elgar Compliance Guides)

Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices (Elgar Compliance Guides)

More Books

Directors And Officers Liability by James A. Fanto (2011-04-16)

Directors And Officers Liability by James A. Fanto (2011-04-16)

Directors' & Officers' Liability, 2nd Ed

Directors' & Officers' Liability, 2nd Ed

A report on the attitudes of foreign companies regarding a U.S. listing (NYSE working paper)

A report on the attitudes of foreign companies regarding a U.S. listing (NYSE working paper)

Broker-dealer Law and Regulation (2)

Broker-dealer Law and Regulation (2)

Directors' and Officers' Liability

Directors' and Officers' Liability

[Playing Cards]: Ulysses a vaudeville: the James Joyce Cards

[Playing Cards]: Ulysses a vaudeville: the James Joyce Cards

Understanding Corporate Law, Sixth Edition

Understanding Corporate Law, Sixth Edition

[(SEC Enforcement of Insider Trading Regulations: An Immediate Look at Recent SEC Investigations Into Alleged Insider Trading Activity * * )] [Author: James Fanto] [Oct-2011]

[(SEC Enforcement of Insider Trading Regulations: An Immediate Look at Recent SEC Investigations Into Alleged Insider Trading Activity * * )] [Author: James Fanto] [Oct-2011]