Téléchargez le livre : Governance, Compliance and Supervision in the Capital Markets

Governance, Compliance and Supervision in the Capital Markets

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Éditeur :

Wiley


Collection :

Wiley Finance

Paru le : 2018-04-20

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Description

The definitive guide to capital markets regulatory compliance
Governance, Compliance, and Supervision in the Capital Markets demystifies the regulatory environment, providing a practical, flexible roadmap for compliance. Banks and financial services firms are under heavy regulatory scrutiny, and must implement comprehensive controls to comply with new rules that are changing the way they conduct business. This book provides a way forward, with clear, actionable guidance that strengthens governance at all levels, and balances supervisory and compliance requirements with the need to do business. From regulatory schemes to individual roles and responsibilities, this invaluable guide details the most pressing issues in today's financial services organizations, and provides expert advice. The ancillary website provides additional tools and guidance, including checklists, required reading, and sample exercises that help strengthen understanding and ease real-world implementation.
Providing both a broad overview of governance, compliance, and supervision, as well as detailed guidance on application, this book presents a solid framework for firms seeking a practical approach to meeting the new requirements. Understand the importance of governance and "Tone at the Top" Distinguish the roles of compliance and supervision within a financial services organization Delve into the regulatory scheme applicable to broker dealers, banks, and investment advisors Examine the risks and consequences of inadequate supervision at the organizational or individual level
The capital markets regulatory environment is complex and ever-evolving, yet compliance is mandatory. A solid understanding of regulatory structure is critical, but must also be accompanied by a practical strategy for effective implementation. Governance, Compliance, and Supervision in the Capital Markets provides both, enabling today's banks and financial services firms to get back on track and get back to business.
Pages
176 pages
Collection
Wiley Finance
Parution
2018-04-20
Marque
Wiley
EAN papier
9781119380658
EAN PDF
9781119380573
Informations sur l'ebook
Nombre pages copiables
0
Nombre pages imprimables
176
Taille du fichier
1352 Ko
Prix
67,63 €
EAN EPUB
9781119380641
Informations sur l'ebook
Nombre pages copiables
0
Nombre pages imprimables
176
Taille du fichier
850 Ko
Prix
67,63 €

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