Regulatory Compliance Fundamentals
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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.
