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Author : David M. Stuart
Publisher :
ISBN 13 : 9781402436062
Total Pages : pages
Book Rating : 4.4/5 (36 download)
Download or read book SEC Compliance and Enforcement Answer Book written by David M. Stuart and published by . This book was released on 2020 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Price Waterhouse
Publisher : Irwin Professional Publishing
ISBN 13 : 9781557387066
Total Pages : 148 pages
Book Rating : 4.3/5 (87 download)
Download or read book Securities Compliance Handbook written by Price Waterhouse and published by Irwin Professional Publishing. This book was released on 1994-04 with total page 148 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : O'Malley, Walsh
Publisher : Wolters Kluwer
ISBN 13 : 1543812562
Total Pages : 990 pages
Book Rating : 4.5/5 (438 download)
Download or read book Investment Adviser's Legal and Compliance Guide, 3rd Edition written by O'Malley, Walsh and published by Wolters Kluwer. This book was released on 2019-06-18 with total page 990 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser's Legal and Compliance Guide
Author : Price Waterhouse (Firm)
Publisher : Irwin Professional Publishing
ISBN 13 : 9781557387660
Total Pages : 136 pages
Book Rating : 4.3/5 (876 download)
Download or read book The Securities Compliance Handbook written by Price Waterhouse (Firm) and published by Irwin Professional Publishing. This book was released on 1995 with total page 136 pages. Available in PDF, EPUB and Kindle. Book excerpt: This volume provides both the statutory background and current regulatory interpretations necessary to understand this rapidly changing field. It offers insight on regulatory concerns in areas such as bank investment activities, brokerage activities, overseas securities activities, and underwriting and dealing activities.
Author : United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher :
ISBN 13 :
Total Pages : 318 pages
Book Rating : 4.3/5 (243 download)
Download or read book Guide to Broker-dealer Compliance written by United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee and published by . This book was released on 1974 with total page 318 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Price Waterhouse
Publisher : Irwin Professional Publishing
ISBN 13 : 9781557387066
Total Pages : 136 pages
Book Rating : 4.3/5 (87 download)
Download or read book Securities Compliance Handbook written by Price Waterhouse and published by Irwin Professional Publishing. This book was released on 1994-04 with total page 136 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Banks and Banks
Publisher : Wolters Kluwer
ISBN 13 : 1543823718
Total Pages : 1886 pages
Book Rating : 4.5/5 (438 download)
Download or read book Corporate Legal Compliance Handbook, 3rd Edition written by Banks and Banks and published by Wolters Kluwer. This book was released on 2020-06-19 with total page 1886 pages. Available in PDF, EPUB and Kindle. Book excerpt: Corporate Legal Compliance Handbook, Third Edition, provides the knowledge necessary to implement or enhance a compliance program in a specific company, or in a client's company. The book focuses not only on doing what is legal or what is right--the two are both important but not always the same--but also on how to make a compliance program actually work. The book is organized in a sequence that follows how to approach a compliance program. It gives the compliance officer, consultant, or attorney a good grounding in the basics of compliance law. This includes such things as the rules about corporate and individual liability, an understanding of the basics of the key laws that impact companies, and the workings of the U.S. Sentencing Guidelines. Successful programs also require an understanding of educational techniques, good communication skills, and the use of computer tools. The effective compliance program also takes into account how to deliver messages using a variety of media to reach employees in different locations, of different ages or education, who speak different languages. Note: Online subscriptions are for three-month periods.
Author : Allan H. Pessin
Publisher : Irwin Professional Publishing
ISBN 13 :
Total Pages : 488 pages
Book Rating : 4.3/5 (512 download)
Download or read book Securities Law Compliance written by Allan H. Pessin and published by Irwin Professional Publishing. This book was released on 1990 with total page 488 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Clifford E. Kirsch
Publisher :
ISBN 13 : 9781402407710
Total Pages : 0 pages
Book Rating : 4.4/5 (77 download)
Download or read book Investment Adviser Regulation written by Clifford E. Kirsch and published by . This book was released on 2006 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
Author : John H. Walsh
Publisher :
ISBN 13 : 9780808048220
Total Pages : pages
Book Rating : 4.0/5 (482 download)
Download or read book Modern Compliance written by John H. Walsh and published by . This book was released on 2017-10-15 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : James M. Storey
Publisher : West
ISBN 13 : 9780314603258
Total Pages : 370 pages
Book Rating : 4.6/5 (32 download)
Download or read book Mutual Fund Regulation and Compliance Handbook, 2012 written by James M. Storey and published by West. This book was released on 2012-08-22 with total page 370 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Thomas Fox
Publisher :
ISBN 13 : 9781783583300
Total Pages : 554 pages
Book Rating : 4.5/5 (833 download)
Download or read book The Complete Compliance Handbook written by Thomas Fox and published by . This book was released on 2018-05-05 with total page 554 pages. Available in PDF, EPUB and Kindle. Book excerpt: Thomas Fox, the Compliance Evangelist, is one of the leading writers, thinkers and commentators on the nuts and bolts of compliance. His always practical advice is now available in one volume, The Complete Compliance Handbook. This book incorporates the most recent pronouncements and guidance from the Department of Justice, including 2017's Evaluation of Corporate Compliance Programs and FCPA Corporate Enforcement Policy, to provide the most up-to-date advice on what constitutes a best practices compliance program. In this single volume compendium, Fox brings together the tops ideas, topics and techniques you can incorporate your compliance program, literally in 31-days to more fully operationalize your compliance regime. If you want one volume to guide you in operationalizing compliance, this is it. The book is designed to provide you with a step-by-step guide to the design, creation, implementation of or enhancement to a compliance program. It begins with 31-days to a more effective compliance program. Each entry presents one thing you can accomplish, at little to no cost, to improve any level of compliance program. There are three key-takeaways for each entry. The final chapter goes through the same process for you to operationalize your compliance program. In between these bookends, The Complete Compliance Handbook features chapters on: -Operationalizing Compliance Through Human Resources -The Role of the Board of Directors and Compliance -360-Degrees of Communication in Compliance -Better Third-Party Risk Management -Reporting and Investigations -Internal Controls -Innovation in Compliance -Written Standards -More Effective Compliance for Business Ventures -Continuous Improvement The author, Thomas Fox, has written 15 books on compliance, leadership and business ethics. He founded the Compliance Podcast Network and has one of the largest social media presences in compliance. He has worked in the compliance arena for over 10 years and draws upon his many years of experience in the profession to create this single volume which will become the standard 'nuts and bolts' text on compliance. Fox's writing style is suited for any skill level of compliance practitioner or maturity of corporate compliance program.
Author : Securities Compliance Index
Publisher :
ISBN 13 : 9781432789619
Total Pages : 507 pages
Book Rating : 4.7/5 (896 download)
Download or read book Securities Compliance Index written by Securities Compliance Index and published by . This book was released on 2012 with total page 507 pages. Available in PDF, EPUB and Kindle. Book excerpt: Introducing the Securities Compliance Index, your go-to resource for securities regulatory information all within one unified source. Digitized version available at www.securitiescomplianceindex.com.
Author : Health Care Compliance Association
Publisher :
ISBN 13 : 9781733598613
Total Pages : pages
Book Rating : 4.5/5 (986 download)
Download or read book Research Compliance Professional's Handbook, 3rd Edition written by Health Care Compliance Association and published by . This book was released on 2019-03 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Jerry W. Markham
Publisher : Edward Elgar Publishing
ISBN 13 : 1782540075
Total Pages : 544 pages
Book Rating : 4.7/5 (825 download)
Download or read book Research Handbook on Securities Regulation in the United States written by Jerry W. Markham and published by Edward Elgar Publishing. This book was released on 2014-07-31 with total page 544 pages. Available in PDF, EPUB and Kindle. Book excerpt: This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statute
Author : Les Abromovitz
Publisher :
ISBN 13 : 9781941627938
Total Pages : 0 pages
Book Rating : 4.6/5 (279 download)
Download or read book The Investment Advisor's Compliance Guide 2nd Edition written by Les Abromovitz and published by . This book was released on 2017-02-22 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Given the current activities of SEC and state securities regulators, as well as the changing business and communication landscapes, investment advisors today must keep current with developments affecting compliance at all levels and in all jurisdictions. The Investment Advisor's Compliance Guide, 2nd Edition delivers a concise yet comprehensive explanation of the rules and how they affect the work you do on a daily basis--no matter where you're registered. The completely enhanced and updated Investment Advisor's Compliance Guide, 2nd Edition, provides highly practical guidance covering all of today's compliance issues, including: -The DOL's new fiduciary rule -RIA advertising, including the use of client testimonials, credentials, and performance results -The use of today's top social media platforms -Client communications, including disclosures -Recent ethical decisions Designed to go far beyond basic compliance rules, The Investment Advisor's Compliance Guide, 2nd Edition, will also help advisors avoid compliance issues, deal with client complaints, and grow their business with the confidence that their actions are well suited to withstand the strictest scrutiny from clients and regulators alike. The expert author, Les Abromovitz, J.D., has extensive experience handling compliance consulting assignments for Registered Investment Advisers (RIAs). In The Investment Advisor's Compliance Guide, 2nd Edition, he has created a completely up-to-date, reader-friendly, go-to-resource for investment advisors, vital for veterans but also a powerful training tool for those new to the field. .
Author : Institutional Invester (Firm)
Publisher :
ISBN 13 : 9781893339811
Total Pages : 100 pages
Book Rating : 4.3/5 (398 download)
Download or read book The Compliance Q and A Handbook written by Institutional Invester (Firm) and published by . This book was released on 2002-10 with total page 100 pages. Available in PDF, EPUB and Kindle. Book excerpt:
