Regulatory Compliance Fundamentals

Name: Regulatory Compliance Fundamentals
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M.L. Humphrey

2020년 1월 · Regulatory Compliance Essentials 1권 · M.L. Humphrey

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We live in a regulated world. And for someone whose role is in regulatory compliance or regulatory enforcement knowledge is often gained on an ad hoc basis through trial and error, via on the job training, or through conversations with others in a similar role.

In Regulatory Compliance Fundamentals M.L. Humphrey has taken twenty years of experience as a regulator and a consultant in the financial services industry and boiled it down to the basic fundamental principles every individual in regulatory compliance should know, and presented that information in a straight-forward, easy to understand manner.

If your role is in regulatory compliance, no matter how long you've been at this, this book is for you.

keywords: regulatory compliance, financial services regulation, AML, OFAC, broker-dealer, how to comply with regulatory requirements, compliance program, reputational risk, business ethics

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M.L. Humphrey is a former stockbroker with a degree in Economics from Stanford and an MBA from Wharton who has spent close to twenty years as a regulator and consultant in the financial services industry.