Financial Regulation and Compliance: How to Manage Competing and Overlapping Regulatory Oversight
- 3h 40m
- H. David Kotz
- John Wiley & Sons (UK)
- 2015
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 SEC with additional guidance provided by leading experts, this book is a one-stop resource for navigating the numerous regulations that have been enacted in response to the financial crisis. You'll learn how best to defend your organization from SEC, CFTC, FINRA, and NFA Enforcement actions, how to prepare for SEC, FINRA, and NFA regulatory examinations, how to manage the increasing volume of whistleblower complaints, how to efficiently and effectively investigate these complaints, and more. Detailed discussion of the regulatory process explains how aggressive you should be in confronting federal agencies and self-regulatory organizations and describes how commenting on issues that affect your business area can be productive or not.
These days, compliance professionals are faced with a myriad of often overlapping regulatory challenges. Increased aggressiveness on the part of regulators has led to increased demand on financial firms, but this book provides clear insight into navigating the changes and building a more robust compliance function.
- Strengthen internal compliance and governance programs
- Manage whistleblower programs and conduct effective investigations
- Understand how to minimize exposure and liability from Enforcement actions
- Learn how to prepare for the different types of regulatory examinations
- Minimize exposure from FCPA violations
- Understand the pros and cons of commenting on regulations
The volume and pace of regulatory change is causing new and diverse pressures on compliance professionals. Navigate the choppy waters successfully with the insider guidance in Financial Regulation and Compliance.
About the Author
H. DAVID KOTZ serves as a Managing Director at Berkeley Research Group (BRG), an international expert services and consulting firm that offers independent expert testimony, litigation and regulatory support, authoritative studies, strategic advice, and document and data analytics. At BRG, Kotz focuses on internal investigations and consults with and provides expert testimony on the regulation of and securities trading by broker-dealers, investment advisers, hedge funds, insurance companies and banks. He also serves as a compliance monitor for firms that have entered into deferred prosecution agreements and similar arrangements with government agencies. Previously, Kotz served as the Inspector General of the Securities and Exchange Commission (SEC).
In this Book
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Financial Regulation and Compliance─How to Manage Competing and Overlapping Regulatory Oversight
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Foreword
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Preface
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Jurisdiction of Regulators – Who Regulates Whom and What
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How to Strengthen Governance and Compliance in Light of New Regulations
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How to Manage Whistleblowers’ Complaints
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How to Defend SEC Examinations
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How to Defend FINRA Examinations
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How to Defend an NFA Examination
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How to Defend SEC Enforcement Actions
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How to Defend FINRA Enforcement Actions
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How to Defend CFTC Enforcement Actions
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How to Defend NFA Enforcement Actions
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How to Participate in the Regulatory Comment Process
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How to Defend FCPA Claims
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How to Conduct Internal Investigations
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Conclusion
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About the Website
