Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices (Elgar Compliance Guides) - Image 1

£98.00

Edward Elgar Publishing Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices (Elgar Compliance Guides)

Name: Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices (Elgar Compliance Guides)
Brand: Edward Elgar Publishing
Price: 98.0 GBP
Availability: InStock

For the Layperson

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Description

Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years. James Fanto discusses the main, well-established elements and practices in a broker-dealer compliance program and illustrates them with case studies and practical examples drawn from real-life situations to demonstrate the goals of a particular program element and problems in its implementation. Moreover, each chapter highlights the pressures on compliance officers and the trends that collectively may transform compliance practice in a particular area. Professionals in broker-dealer and investment firm compliance practice will find this book a readable introduction to the field. Experienced practitioners can refresh their knowledge and even learn something new about brokerage compliance program elements and practices.

Product Specifications

Brand: Edward Elgar Publishing
Format: hardcover
ASIN: 1800889569
Category: Books > Subjects > Business, Finance & Law > Law > For the Layperson
Domain: Amazon UK
Release Date: 28 April 2023
Listed Since: 09 October 2022

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Edward Elgar Publishing Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices (Elgar Compliance Guides)

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