Broker-Dealer Compliance : A Case-based Guide to Compliance Program Elements and Practices /: A Case-based Guide to Compliance Program Elements and Practices. (2023)

• Record Type: Book
• Further Information: Note: James A. Fanto.
• Authors: Fanto, James A
• Contents: Contents: Preface 1. Introduction: why broker-dealer compliance? 2. Compliance risk management 3. Compliance policies and procedures 4. Compliance training 5. Compliance advice, ethics, and culture 6. Compliance monitoring and surveillance 7. Compliance investigations 8. Evaluation of the compliance program 9. Specialized compliance in broker-dealers 10. Compliance officer's relationship with regulators 11. Reflections on the future of broker-dealer compliance Selected and annotated bibliography Index.
• Publisher Details: Cheltenham : Edward Elgar Publishing
• Publication Date: 2023
• Extent: 1 online resource (222 pages)
• Subjects: LAW -- Business & Financial; Financial law; LAW -- Corporate; LAW -- Practical Guides; Company law
• Languages: English
• ISBNs: 9781800889576; 1800889577
• Related ISBNs: 9781800889569
• Access Rights: Legal Deposit; Only available on premises controlled by the deposit library and to one user at any one time; The Legal Deposit Libraries (Non-Print Works) Regulations (UK).
• Access Usage: Restricted: Printing from this resource is governed by The Legal Deposit Libraries (Non-Print Works) Regulations (UK) and UK copyright law currently in force.