Broker-Dealer Compliance: A Case-Based Guide to Compliance Program Elements and Practices - Couverture rigide

Fanto, James A.

Couverture rigide

ISBN 10 : 1800889569 ISBN 13 : 9781800889569

Editeur : Edward Elgar Publishing Ltd, 2023

Synopsis

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.

A propos du livre

À propos de l'auteur

James A. Fanto, Gerald Baylin Professor of Law and Co-Director, Center for the Study of Business Law and Regulation, Brooklyn Law School, US

Détails de l'édition

• Éditeur: Edward Elgar Publishing Ltd
• Date d'édition: 2023
• Langue: anglais
• ISBN 10: 1800889569
• ISBN 13: 9781800889569
• Reliure: Relié
• Nombre de pages: 222
• Coordonnées du fabricant: non disponible
• Personne responsable: non disponible