H david kotz (23 risultati)

Hardcover. Condizione: Good. Connecting readers with great books since 1972! Used textbooks may not include companion materials such as access codes, etc. May have some wear or writing/highlighting. We ship orders daily and Customer Service is our top priority.

Condizione: New.

Hardcover. Condizione: new. New Copy. Customer Service Guaranteed.

Condizione: As New. Unread book in perfect condition.

HRD. Condizione: New. New Book. Shipped from UK. Established seller since 2000.

Hardback. Condizione: New. 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 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. These 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. Strengthen internal compliance and governance programsManage whistleblower programs and conduct effective investigationsUnderstand how to minimize exposure and liability from Enforcement actionsLearn how to prepare for the different types of regulatory examinationsMinimize exposure from FCPA violationsUnderstand the pros and cons of commenting on regulations The 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 Financial Regulation and Compliance.…

Condizione: new.

Condizione: New.

Condizione: New. In English.

Condizione: New. pp. 250.

Condizione: New. 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. Series: The Wiley Finance Series. Num Pages: 256 pages. BIC Classification: KFF; LNP. Category: (P) Professional & Vocational. Dimension: 238 x 161 x 25. Weight in Grams: 452. . 2015. 1st Edition. Hardcover. . . . .…

Condizione: As New. Unread book in perfect condition.

Condizione: New.

Condizione: New. pp. 250.

Condizione: New. 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. Series: The Wiley Finance Series. Num Pages: 256 pages. BIC Classification: KFF; LNP. Category: (P) Professional & Vocational. Dimension: 238 x 161 x 25. Weight in Grams: 452. . 2015. 1st Edition. Hardcover. . . . . Books ship from the US and Ireland.…

Hardcover. Condizione: Brand New. 250 pages. 9.50x6.50x1.00 inches. In Stock.

Buch. Condizione: Neu. Neuware - Devise an organized, proactive approach to financial complianceFinancial 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 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.These 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.\* Strengthen internal compliance and governance programs\* Manage whistleblower programs and conduct effective investigations\* Understand how to minimize exposure and liability from Enforcement actions\* Learn how to prepare for the different types of regulatory examinations\* Minimize exposure from FCPA violations\* Understand the pros and cons of commenting on regulationsThe 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 Financial Regulation and Compliance. …

Hardback. Condizione: New. 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 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. These 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. Strengthen internal compliance and governance programsManage whistleblower programs and conduct effective investigationsUnderstand how to minimize exposure and liability from Enforcement actionsLearn how to prepare for the different types of regulatory examinationsMinimize exposure from FCPA violationsUnderstand the pros and cons of commenting on regulations The 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 Financial Regulation and Compliance.…

paperback. Condizione: New. Language:Chinese.Paperback. Pub Date: 2018-01-01 Pages: 195 Publisher: China's financial press the book on the analysis of securities regulation involves the relatively new field. financial regulation covers a part of the securities.From the perspective of history. the only bank is regulated - that is. Banks need to face the investigation and provide regulators with confidential records. still need to face possible sanctions.But over the past.…

Hardback. Condizione: New. This item is printed on demand. New copy - Usually dispatched within 5-9 working days.

Hardcover. Condizione: Brand New. 250 pages. 9.50x6.50x1.00 inches. In Stock. This item is printed on demand.

Hardcover. Condizione: new. Hardcover. 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 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. These 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. Strengthen internal compliance and governance programsManage whistleblower programs and conduct effective investigationsUnderstand how to minimize exposure and liability from Enforcement actionsLearn how to prepare for the different types of regulatory examinationsMinimize exposure from FCPA violationsUnderstand the pros and cons of commenting on regulations The 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 Financial Regulation and Compliance. 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. This item is printed on demand. Shipping may be from our UK warehouse or from our Australian or US warehouses, depending on stock availability.…

Condizione: New. PRINT ON DEMAND pp. 250.