Financial regulation and compliance : how to manage competing and overlapping regulatory oversight /

• Main Author: Kotz, H. David (Author)
• Format: eBook
• Language: English
• Published: Hoboken, New Jersey : Wiley, 2015.
• Series: Wiley finance series.
• Subjects: Financial institutions > Law and legislation > United States.; LAW / Administrative Law & Regulatory Practice; Financial institutions > Law and legislation.; United States.; Electronic books.

"Devise an organized, proactive approach to financial compliance Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities. Written by David Kotz, former Inspector General of the...

Table of Contents:

• Jurisdiction of regulators : who regulates whom and what
• How to strengthen governance and compliance in light of new regulations
• How to manage whistleblowers : complaints
• How to defend SEC examinations.