Regulatory Compliance Fundamentals

Name: Regulatory Compliance Fundamentals
Rating: 4 (2 reviews)

M.L. Humphrey

jan 2020 · Regulatory Compliance Essentials Boek 1 · M.L. Humphrey

4,0

2 reviews

E-boek

102

Pagina's

Geschikt

Beoordelingen en reviews worden niet geverifieerd. Meer informatie

Over dit e-boek

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

Beoordelingen en reviews

4,0

2 reviews

Over de auteur

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.

Dit e-boek beoordelen

Geef ons je mening.

Informatie over lezen

Smartphones en tablets

Installeer de Google Play Boeken-app voor Android en iPad/iPhone. De app wordt automatisch gesynchroniseerd met je account en met de app kun je online of offline lezen, waar je ook bent.

Laptops en computers

Via de webbrowser van je computer kun je luisteren naar audioboeken die je hebt gekocht op Google Play.

eReaders en andere apparaten

Als je wilt lezen op e-ink-apparaten zoals e-readers van Kobo, moet je een bestand downloaden en overzetten naar je apparaat. Volg de gedetailleerde instructies in het Helpcentrum om de bestanden over te zetten op ondersteunde e-readers.

Illegale content melden