• Sign In / Register
  • Help
  • Basket0
Governance, Compliance and Supervision in the Capital Markets: + Website - Wiley Finance (Hardback)
  • Governance, Compliance and Supervision in the Capital Markets: + Website - Wiley Finance (Hardback)
zoom

Governance, Compliance and Supervision in the Capital Markets: + Website - Wiley Finance (Hardback)

(author), (author)
£60.00
Hardback 176 Pages / Published: 22/06/2018
  • Coming soon

Awaiting publication

  • This item has been added to your basket

The definitive guide to capital markets regulatory compliance

Governance, Compliance, and Supervision in the Capital Markets demystifies the regulatory environment, providing a practical, flexible roadmap for compliance. Banks and financial services firms are under heavy regulatory scrutiny, and must implement comprehensive controls to comply with new rules that are changing the way they conduct business. This book provides a way forward, with clear, actionable guidance that strengthens governance at all levels, and balances supervisory and compliance requirements with the need to do business. From regulatory schemes to individual roles and responsibilities, this invaluable guide details the most pressing issues in today's financial services organizations, and provides expert advice. The ancillary website provides additional tools and guidance, including checklists, required reading, and sample exercises that help strengthen understanding and ease real-world implementation.

Providing both a broad overview of governance, compliance, and supervision, as well as detailed guidance on application, this book presents a solid framework for firms seeking a practical approach to meeting the new requirements.

Understand the importance of governance and "Tone at the Top"Distinguish the roles of compliance and supervision within a financial services organizationDelve into the regulatory scheme applicable to broker dealers, banks, and investment advisors Examine the risks and consequences of inadequate supervision at the organizational or individual level

The capital markets regulatory environment is complex and ever-evolving, yet compliance is mandatory. A solid understanding of regulatory structure is critical, but must also be accompanied by a practical strategy for effective implementation. Governance, Compliance, and Supervision in the Capital Markets provides both, enabling today's banks and financial services firms to get back on track and get back to business.

Publisher: John Wiley & Sons Inc
ISBN: 9781119380658
Number of pages: 176
Weight: 380 g
Dimensions: 231 x 155 x 18 mm

You may also be interested in...

The Science of Getting Rich
Added to basket
The Ascent of Money
Added to basket
Investing in Shares For Dummies
Added to basket
Business Adventures
Added to basket
£10.99
Paperback
Buffett
Added to basket
£12.99
Paperback
Property Tycoon
Added to basket
£12.99
Paperback
Rich Dad's Guide to Investing
Added to basket
£14.99   £10.49
Paperback
Fooled by Randomness
Added to basket
The Financial Times Guide to Investing
Added to basket
Treasure Islands
Added to basket
Handbook of Alternative Assets
Added to basket
Corporate Finance For Dummies - UK
Added to basket
Catching the Wolf of Wall Street
Added to basket

Reviews

Please sign in to write a review

Your review has been submitted successfully.