{"product_id":"9781118972212","title":"Financial Regulation and Compliance, + Website How to Manage Competing and Overlapping Regulatory Oversight","description":"\u003ch3\u003eThe Wiley Finance Series\u003c\/h3\u003e\u003ch1\u003eFinancial Regulation and Compliance, + Website\u003c\/h1\u003e\u003ch2\u003eHow to Manage Competing and Overlapping Regulatory Oversight\u003c\/h2\u003e\u003ch3\u003eH. David Kotz\u003c\/h3\u003e\u003cdiv\u003e\u003cb\u003eBusiness \u0026amp; Economics \/ Finance \/ Financial Risk Management\u003c\/b\u003e\u003c\/div\u003e\u003cbr\u003e\u003cdiv\u003e\n\u003cb\u003eDevise an organized, proactive approach to financial compliance\u003c\/b\u003e  \u003cp\u003e\u003ci\u003eFinancial Regulation and Compliance\u003c\/i\u003e 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.\u003c\/p\u003e \u003cp\u003eThese 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.\u003c\/p\u003e \u003cul\u003e \u003cli\u003eStrengthen internal compliance and governance programs\u003c\/li\u003e \u003cli\u003eManage whistleblower programs and conduct effective investigations\u003c\/li\u003e \u003cli\u003eUnderstand how to minimize exposure and liability from Enforcement actions\u003c\/li\u003e \u003cli\u003eLearn how to prepare for the different types of regulatory examinations\u003c\/li\u003e \u003cli\u003eMinimize exposure from FCPA violations\u003c\/li\u003e \u003cli\u003eUnderstand the pros and cons of commenting on regulations\u003c\/li\u003e \u003c\/ul\u003e \u003cp\u003eThe 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 \u003ci\u003eFinancial Regulation and Compliance\u003c\/i\u003e.\u003c\/p\u003e\n\u003c\/div\u003e\u003cdiv\u003e \u003cp\u003e\u003cb\u003eH. DAVID KOTZ \u003c\/b\u003eserves as a Managing Director at Berkeley Research Group (BRG), an international expert services and consulting firm that offers independent expert testimony, litigation and regulatory support, authoritative studies, strategic advice, and document and data analytics. At BRG, Kotz focuses on internal investigations and consults with and provides expert testimony on the regulation of and securities trading by broker-dealers, investment advisers, hedge funds, insurance companies and banks. He also serves as a compliance monitor for firms that have entered into deferred prosecution agreements and similar arrangements with government agencies. Previously, Kotz served as the Inspector General of the Securities and Exchange Commission (SEC).\u003c\/p\u003e \u003c\/div\u003e\u003cbr\u003e\u003ctable\u003e\n\u003ctr\u003e\n\u003ctd\u003ePublication Date: \u003c\/td\u003e\n\u003ctd\u003e10 August 2015\u003c\/td\u003e\n\u003c\/tr\u003e\n\u003ctr\u003e\n\u003ctd\u003ePublisher: \u003c\/td\u003e\n\u003ctd\u003eWiley\u003c\/td\u003e\n\u003c\/tr\u003e\n\u003ctr\u003e\n\u003ctd\u003eImprint: \u003c\/td\u003e\n\u003ctd\u003eWiley\u003c\/td\u003e\n\u003c\/tr\u003e\n\u003ctr\u003e\n\u003ctd\u003eISBN-13: \u003c\/td\u003e\n\u003ctd\u003e9781118972212\u003c\/td\u003e\n\u003c\/tr\u003e\n\u003ctr\u003e\n\u003ctd\u003eFormat: \u003c\/td\u003e\n\u003ctd\u003eHardback\u003c\/td\u003e\n\u003c\/tr\u003e\n\u003ctr\u003e\n\u003ctd\u003ePage Count: \u003c\/td\u003e\n\u003ctd\u003e256\u003c\/td\u003e\n\u003c\/tr\u003e\n\u003ctr\u003e\n\u003ctd\u003eWeight (oz): \u003c\/td\u003e\n\u003ctd\u003e15.2\u003c\/td\u003e\n\u003c\/tr\u003e\n\u003c\/table\u003e","brand":"Wiley","offers":[{"title":"Default Title","offer_id":44378602307724,"sku":"9781118972212","price":57.6,"currency_code":"USD","in_stock":true}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/0710\/9545\/1788\/files\/9781118972212_a3f09832-ea7a-4136-aae5-d52a4355de24.jpg?v=1780144603","url":"https:\/\/fh90cf-fv.myshopify.com\/products\/9781118972212","provider":"Late Knight Books and Services, LLC","version":"1.0","type":"link"}