||5 of 5 people found the following review helpful.| Extremely valuable information resource|By Jane Donovan|David Kotz’s book is a readable resource for compliance professionals that contains valuable information about a variety of regulatory challenges. I especially liked the added expertise from former governmental officials who provide practical advice for companies facing SEC exams and investigations. I have not see|From the Inside Flap||The tremendous volume and accelerated pace of regulatory change combined with overlapping requirements and the increased aggressiveness on the part of regulators has led to a greater demand for compliance on the part of financial firms. |
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 respo...
[PDF.va32] Financial Regulation and Compliance: How to Manage Competing and Overlapping Regulatory Oversight (The Wiley Finance Series) Rating: 4.86 (690 Votes)
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