Regulatory Compliance Fundamentals

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

M.L. Humphrey

Ene 2020 · Regulatory Compliance Essentials Aklat 1 · M.L. Humphrey

4.0

2 review

E-book

102

Mga Page

Kwalipikado

Hindi na-verify ang mga rating at review Matuto Pa

Tungkol sa ebook na ito

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

Mga rating at review

4.0

2 review

Tungkol sa may-akda

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.

I-rate ang e-book na ito

Ipalaam sa amin ang iyong opinyon.

Impormasyon sa pagbabasa

Mga smartphone at tablet

I-install ang Google Play Books app para sa Android at iPad/iPhone. Awtomatiko itong nagsi-sync sa account mo at nagbibigay-daan sa iyong magbasa online o offline nasaan ka man.

Mga laptop at computer

Maaari kang makinig sa mga audiobook na binili sa Google Play gamit ang web browser ng iyong computer.

Mga eReader at iba pang mga device

Para magbasa tungkol sa mga e-ink device gaya ng mga Kobo eReader, kakailanganin mong mag-download ng file at ilipat ito sa iyong device. Sundin ang mga detalyadong tagubilin sa Help Center para mailipat ang mga file sa mga sinusuportahang eReader.

Mag-ulat ng ilegal na content