Regulatory Compliance Fundamentals

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

M.L. Humphrey

Jan 2020 · Regulatory Compliance Essentials Buku 1 · M.L. Humphrey

4,0

2 ulasan

eBook

102

Halaman

Memenuhi syarat

Rating dan ulasan tidak diverifikasi Pelajari Lebih Lanjut

Tentang eBook ini

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

Rating dan ulasan

4,0

2 ulasan

Tentang pengarang

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.

Beri rating eBook ini

Sampaikan pendapat Anda.

Informasi bacaan

Smartphone dan tablet

Instal aplikasi Google Play Buku untuk Android dan iPad/iPhone. Aplikasi akan disinkronkan secara otomatis dengan akun Anda dan dapat diakses secara online maupun offline di mana saja.

Laptop dan komputer

Anda dapat mendengarkan buku audio yang dibeli di Google Play menggunakan browser web komputer.

eReader dan perangkat lainnya

Untuk membaca di perangkat e-ink seperti Kobo eReaders, Anda perlu mendownload file dan mentransfernya ke perangkat Anda. Ikuti petunjuk Pusat bantuan yang mendetail untuk mentransfer file ke eReaders yang didukung.

Laporkan konten ilegal