eBook: Download Financial Regulation Compliance Overlapping Regulatory ePub (KINDLE, PDF, MOBI) + Audio Version


  • File Size: 983 KB
  • Print Length: 256 pages
  • Publisher: Wiley; 1 edition (July 6, 2015)
  • Publication Date: July 6, 2015
  • Language: English

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Jesse Kotz’s book is a readable resource for compliance professionals that contains valuable information about a variety of regulatory challenges. I especially liked additional expertise from former governmental officials who provide practical advice for companies facing SEC exams and investigations. I have not seen an e book before that incorporates a lot knowledge and information about so many specific areas. Like a compliance officer at a broker-dealer that faces SECURITIES AND EXCHANGE COMMISSION'S and FINRA exams routinely, I found the information contained in those chapters particularly helpful. I also liked the chapter on taking part in the regulatory comment process particularly instructive. Finally, Mr. Kotz’s description of the investigations he conducted while at the SECURITIES AND EXCHANGE COMMISSION'S were fascinating and he or she offers some very interesting viewpoints on overlapping regulations. Inside all, I suggest the book for compliance professionals in a wide variety of companies and businesses., Wonderful resource for financial institutions. Helps with devising a proactive approach to fiancial compliance. Riveting stories about the authors investigation of the Madoff Ponzi structure. Valuable information presented in a definite precise format. A must read for all my business students. SOUTH CAROLINA Steuer

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Financial Regulation Compliance Overlapping Regulatory
Average Rating: 4.37
Votes: 5
Reviews: 1