The Changing Function Of Compliance

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The Changing Function of Compliance

Author : Sharon Ward
Publisher : Taylor & Francis
ISBN 13 : 1000936449
Total Pages : 299 pages
Book Rating : 4.0/5 (9 download)

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Book Synopsis The Changing Function of Compliance by : Sharon Ward

Download or read book The Changing Function of Compliance written by Sharon Ward and published by Taylor & Francis. This book was released on 2023-09-18 with total page 299 pages. Available in PDF, EPUB and Kindle. Book excerpt: As risks arising within the business environment grow in size and complexity, so too do the regulatory requirements put in place to manage them. The pace of regulatory change is itself a significant business risk, and compliance departments are under increasing pressure to keep up with the change and adapt their organisations accordingly. This new edition of what has become an indispensable guide to regulation compliance brings readers up to date with changing areas of focus and provides guidance for regulated firms and regulators alike. The Changing Function of Compliance considers the relationship between regulation and compliance as well as key influences on both, offering insight into the effectiveness of current approaches and addressing practical compliance challenges. It explains the purpose and development of regulatory risk management and the existing regulatory environment, and provides a detailed exploration of the compliance function, explaining how the role might be strengthened and how best to approach the role to enable it to be effective. This practical and accessible handbook includes a mix of hands-on advice, examples and research based on the experiences of practitioners, educators and regulators drawn from across a wide range of jurisdictions and sectors. This book is an essential read, whether you are concerned about the growing and changing implications of regulatory risk, the benefit of leveraging additional value from your compliance function or your own compliance role or ways of transforming and sustaining the function to ensure its continued relevance to the business.

The Changing Face of Compliance

Author : Sharon Ward
Publisher : Routledge
ISBN 13 : 1317039033
Total Pages : 424 pages
Book Rating : 4.3/5 (17 download)

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Book Synopsis The Changing Face of Compliance by : Sharon Ward

Download or read book The Changing Face of Compliance written by Sharon Ward and published by Routledge. This book was released on 2016-04-01 with total page 424 pages. Available in PDF, EPUB and Kindle. Book excerpt: In the current business climate the impact of the volume and nature of regulatory change and the regulatory risk arising from this is a significant business risk for regulated firms and regulators alike. As a consequence, management of this risk is increasingly high on the board agenda of regulated firms, with those business functions whose activities support this, such as Compliance, facing increasing levels of challenge in their efforts to be effective. The Changing Face of Compliance addresses core aspects of this challenge, considering the relationship between regulation and compliance and key influences on both, offering insight into the effectiveness of current approaches and addressing practical compliance challenges. Sharon Ward explains how the role of Compliance might be strengthened and those who work within it further enabled to support the current focus on improving standards in business, offering recommendations for enhancing this role. The text includes a mix of hands-on advice, examples and research based on the experiences of practitioners, educators and regulators drawn from across a wide range of jurisdictions and sectors. This is a thoughtful and timely book, whether you are concerned about the growing and changing implications of regulatory risk; the benefit of leveraging additional value from your Compliance function or your own Compliance role; or ways of transforming and sustaining the function to ensure its continued relevance to the business.

The Compliance Revolution

Author : David Jackman
Publisher : John Wiley & Sons
ISBN 13 : 111902059X
Total Pages : 224 pages
Book Rating : 4.1/5 (19 download)

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Book Synopsis The Compliance Revolution by : David Jackman

Download or read book The Compliance Revolution written by David Jackman and published by John Wiley & Sons. This book was released on 2015-08-31 with total page 224 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Compliance Revolution—Practical, Powerful Changes for Strategic Organizational Value Compliance is absolutely critical in creating a robust and resilient organization, one which is trusted by clients and contributes to market stability. Firms must approach compliance differently in order to meet these standards. Written for compliance staff, regulatory organizations, and senior management, The Compliance Revolution explains how key changes in compliance affect underlying principles, practices, roles, expectations and values. This valuable resource for global practitioners assists in navigating compliance requirements and implementing solid protection for a sound organization. Author David Jackman presents a coherent model for understanding and applying key developments in regulation and compliance. While the model is based on financial services, it can be applied to any sector and industry. It identifies five critical compliance components: Start-up, crises, expansion, sustainability, and outcomes-led focus. You will also discover: Why compliance is worth spending money on What your firm could and should be doing differently The importance of ethics in compliance and regulatory challenges How to create a pro-compliance culture Ten principles of good governance and why good governance matters How to employ judgment-based compliance The features and benefits of corporate maturity The Compliance Revolution is a crucial asset for all those with stakes in compliance—board members, compliance managers, and employees. David Jackman outlines key compliance challenges and reveals the practical tools and techniques required for successful practice. The insight, examples, and strategies in this comprehensive guidebook will help you and your organization achieve increasingly efficient, substantially more effective compliance procedures and practices.

Financial Regulation and Compliance

Author : H. Kotz
Publisher :
ISBN 13 :
Total Pages : 256 pages
Book Rating : 4.:/5 (11 download)

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Book Synopsis Financial Regulation and Compliance by : H. Kotz

Download or read book Financial Regulation and Compliance written by H. Kotz and published by . This book was released on 2015 with total page 256 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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. The companion website includes a glossary of terms, regulations and government guidance, relevant case law, research databases, and FAQs about various topics, giving you a complete solution for keeping abreast of evolving compliance issues. 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.

Essential Strategies for Financial Services Compliance

Author : Annie Mills
Publisher : John Wiley & Sons
ISBN 13 : 1118906195
Total Pages : 400 pages
Book Rating : 4.1/5 (189 download)

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Book Synopsis Essential Strategies for Financial Services Compliance by : Annie Mills

Download or read book Essential Strategies for Financial Services Compliance written by Annie Mills and published by John Wiley & Sons. This book was released on 2015-10-08 with total page 400 pages. Available in PDF, EPUB and Kindle. Book excerpt: A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.

Private Equity Compliance

Author : Jason A. Scharfman
Publisher : John Wiley & Sons
ISBN 13 : 1119479622
Total Pages : 229 pages
Book Rating : 4.1/5 (194 download)

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Book Synopsis Private Equity Compliance by : Jason A. Scharfman

Download or read book Private Equity Compliance written by Jason A. Scharfman and published by John Wiley & Sons. This book was released on 2018-09-12 with total page 229 pages. Available in PDF, EPUB and Kindle. Book excerpt: Develop and manage a private equity compliance program Compliance has become one of the fastest-growing areas in the private equity (PE) space. Mirroring trends from the hedge fund industry, recent surveys indicate that PE managers rank compliance as the single most challenging aspect of their business. Reports also indicate that PE compliance spending has rapidly outpaced other PE operating costs with recent estimates indicating that individual PE funds on average spend at least 15 - 20% of their operating budgets on this area. General Partners (GPs) have also significantly ramped up the hiring of private equity compliance related roles. Private Equity Compliance provides current and practical guidance on key private equity (PE) compliance challenges and trends. Packed with detailed, practical guidance on developing and managing a private equity compliance program, it offers up-to-date case studies and an analysis of critical regulatory enforcement actions on private equity funds in areas including conflict of interest, fees, expenses, LP fun raising disclosures, and valuations. • Provides real-world compliance guidance • Offers information that is tailored to the current compliance practices employed by GPs in the private equity industry. • Provides guidance on managing the compliance risks associated with cybersecurity and information technology risk • Serves as a PE-focused complement to the author's previous book, Hedge Fund Compliance If you’re a private equity investor or compliance officer looking for trusted guidance on analyzing conflicts, fees, and risks, this is one reference you can’t be without.

Financial Regulation and Compliance, + Website

Author : H. David Kotz
Publisher : John Wiley & Sons
ISBN 13 : 111897221X
Total Pages : 248 pages
Book Rating : 4.1/5 (189 download)

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Book Synopsis Financial Regulation and Compliance, + Website by : H. David Kotz

Download or read book Financial Regulation and Compliance, + Website written by H. David Kotz and published by John Wiley & Sons. This book was released on 2015-08-03 with total page 248 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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. The companion website includes a glossary of terms, regulations and government guidance, relevant case law, research databases, and FAQs about various topics, giving you a complete solution for keeping abreast of evolving compliance issues. 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.

Compliance

Author : Daniel S. Lewis
Publisher : Createspace Independent Publishing Platform
ISBN 13 : 9781534778382
Total Pages : 34 pages
Book Rating : 4.7/5 (783 download)

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Book Synopsis Compliance by : Daniel S. Lewis

Download or read book Compliance written by Daniel S. Lewis and published by Createspace Independent Publishing Platform. This book was released on 2016-11-10 with total page 34 pages. Available in PDF, EPUB and Kindle. Book excerpt: Compliance failures have cost global financial services firms in excess of $300bn since 2010. Compliance has since become one of the most important functions in financial services firms. This short guide to Compliance explains what Compliance is, what the Compliance function does, and what some of the continuing challenges might be for the modern Compliance function.

The Promises and Perils of Compliance

Author : David Arellano-Gault
Publisher : Walter de Gruyter GmbH & Co KG
ISBN 13 : 3110749211
Total Pages : 239 pages
Book Rating : 4.1/5 (17 download)

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Book Synopsis The Promises and Perils of Compliance by : David Arellano-Gault

Download or read book The Promises and Perils of Compliance written by David Arellano-Gault and published by Walter de Gruyter GmbH & Co KG. This book was released on 2023-01-30 with total page 239 pages. Available in PDF, EPUB and Kindle. Book excerpt: In today’s era of increased regulation and renewed enforcement efforts, unethical behavior and misconduct are a focus of concern among not only governments and regulators, but also investors, firms, employees, customers, and the public. Accordingly, compliance programs have gained prominence in the organizational agenda. A properly designed and implemented compliance program provides crucial assurance for all stakeholders that an organization’s personnel abide by all applicable regulations, internal ethical principles, codes of conduct, and other guidelines. Based on empirical experience and illustrative cases, The Promises and Perils of Compliance seeks to discuss compliance not as just another management tool, but rather as a collection of rules, norms and controls embedded into an organization’s culture and environment that must be understood when designing a compliance program. The authors propose that organizations must be transparent at all stages of the design and implementation of the compliance program and be prepared to interpret, adapt, change, and redefine the program in action. It is also important for organizations to set a realistic agenda for the program so that gains can be seen and celebrated by all stakeholders. This book offers a pathway to understanding the organizational dynamics any compliance effort needs to consider. It will benefit business students as well as managers, compliance officers, and CEOs and executives at every level.

Imposing Duties

Author : Malcolm K. Sparrow
Publisher : Bloomsbury Publishing USA
ISBN 13 : 0313018537
Total Pages : 220 pages
Book Rating : 4.3/5 (13 download)

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Book Synopsis Imposing Duties by : Malcolm K. Sparrow

Download or read book Imposing Duties written by Malcolm K. Sparrow and published by Bloomsbury Publishing USA. This book was released on 1994-02-07 with total page 220 pages. Available in PDF, EPUB and Kindle. Book excerpt: Policing, environmental protection, and tax administration have much more in common than practitioners in these areas often recognize. Their cultures and traditions have, for the past few decades, incorporated a classic enforcement mentality, based on the underlying assumption that a ruthless and efficient investigative and enforcement capability would produce compliance through the mechanisms of deterrence. In these fields, and perhaps in many other enforcement or compliance oriented professions, Sparrow believes the traditional enforcement approach is under stress. There are too many violators, too many laws to be enforced, and not enough resources to get the job done. In this book, Sparrow draws out remarkable parallels in the ways these professions are adapting to meet their current challenges, as they reject their traditional reliance on retrospective, case-by-case, after-the-fact enforcement. Rather than perpetuating their dependence on processes, procedures, and coverage, these professions are each developing new capacities for analyzing important patterns of noncompliance, prioritizing risks, and designing intelligent interventions using a much broader range of tools. Sparrow extracts the essence of the transformations underway, explores the critical implications for information management, and lays out the issues that need resolution before the emerging compliance strategies can reach maturity. This book is required reading for all those concerned with either the theory or the practice of the compliance side of government.

PCI Compliance

Author : Abhay Bhargav
Publisher : CRC Press
ISBN 13 : 1439887411
Total Pages : 351 pages
Book Rating : 4.4/5 (398 download)

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Book Synopsis PCI Compliance by : Abhay Bhargav

Download or read book PCI Compliance written by Abhay Bhargav and published by CRC Press. This book was released on 2014-05-05 with total page 351 pages. Available in PDF, EPUB and Kindle. Book excerpt: Although organizations that store, process, or transmit cardholder information are required to comply with payment card industry standards, most find it extremely challenging to comply with and meet the requirements of these technically rigorous standards. PCI Compliance: The Definitive Guide explains the ins and outs of the payment card industry (PCI) security standards in a manner that is easy to understand. This step-by-step guidebook delves into PCI standards from an implementation standpoint. It begins with a basic introduction to PCI compliance, including its history and evolution. It then thoroughly and methodically examines the specific requirements of PCI compliance. PCI requirements are presented along with notes and assessment techniques for auditors and assessors. The text outlines application development and implementation strategies for Payment Application Data Security Standard (PA-DSS) implementation and validation. Explaining the PCI standards from an implementation standpoint, it clarifies the intent of the standards on key issues and challenges that entities must overcome in their quest to meet compliance requirements. The book goes beyond detailing the requirements of the PCI standards to delve into the multiple implementation strategies available for achieving PCI compliance. The book includes a special appendix on the recently released PCI-DSS v 3.0. It also contains case studies from a variety of industries undergoing compliance, including banking, retail, outsourcing, software development, and processors. Outlining solutions extracted from successful real-world PCI implementations, the book ends with a discussion of PA-DSS standards and validation requirements.

Governance, Compliance and Supervision in the Capital Markets

Author : Sarah Swammy
Publisher : John Wiley & Sons
ISBN 13 : 111938057X
Total Pages : 176 pages
Book Rating : 4.1/5 (193 download)

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Book Synopsis Governance, Compliance and Supervision in the Capital Markets by : Sarah Swammy

Download or read book Governance, Compliance and Supervision in the Capital Markets written by Sarah Swammy and published by John Wiley & Sons. This book was released on 2018-04-20 with total page 176 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 organization Delve 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.

Fully Compliant

Author : Travis Waugh
Publisher : Association for Talent Development
ISBN 13 : 194730836X
Total Pages : 270 pages
Book Rating : 4.9/5 (473 download)

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Book Synopsis Fully Compliant by : Travis Waugh

Download or read book Fully Compliant written by Travis Waugh and published by Association for Talent Development. This book was released on 2019-06-25 with total page 270 pages. Available in PDF, EPUB and Kindle. Book excerpt: A Better Kind of Compliance Training Compliance training succeeds when you balance an organization’s legal responsibilities with the real needs of the employees who you hope will learn and change their behavior. In Fully Compliant, Travis Waugh challenges traditional compliance training that focuses only on the legal risk of failing to comply with a specific mandate. With an ever-increasing number of compliance subjects to address, such programs are unsustainable. Instead, organizations must design compliance programs that serve a higher, broader purpose and build robust, resilient cultures focusing on integrity and ethics learning. Optimal compliance programs are flexible and create real learning experiences that change real behavior, thus diminishing the chance of misconduct in the first place. This book connects the three levers of human behavior—context, habit, and motivation— to help organizations craft holistic compliance training programs that do far more than check a box. It identifies ways to pick up small but meaningful wins in turning around an existing compliance program or designing a new course, which can turn stakeholders from skeptics into learning champions. And it offers an eight-step road map for implementing your own compliance learning plan. With this book, you’ll be able to: Create behavior-based compliance training that generates measurable benefits. Make compliance training more engaging and impactful, not one-size-fits-all. Remain relevant as advances in technology shift compliance expectations in the years ahead. By putting the learner first, you can develop compliance that stick

The SBA Investigation Report

Author : United States. Congress. House. Committee on Banking and Currency. Subcommittee on Small Business
Publisher :
ISBN 13 :
Total Pages : 386 pages
Book Rating : 4.3/5 (91 download)

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Book Synopsis The SBA Investigation Report by : United States. Congress. House. Committee on Banking and Currency. Subcommittee on Small Business

Download or read book The SBA Investigation Report written by United States. Congress. House. Committee on Banking and Currency. Subcommittee on Small Business and published by . This book was released on 1974 with total page 386 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Year 2000 computing crisis compliance status of many biomedical equipment items still unknown : report to the Chairman, Subcommittee on Oversight and Investigations, Committee on Veterans' Affairs, House of Representatives

Download Year 2000 computing crisis compliance status of many biomedical equipment items still unknown : report to the Chairman, Subcommittee on Oversight and Investigations, Committee on Veterans' Affairs, House of Representatives PDF Online Free

Author :
Publisher : DIANE Publishing
ISBN 13 : 142897721X
Total Pages : 47 pages
Book Rating : 4.4/5 (289 download)

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Book Synopsis Year 2000 computing crisis compliance status of many biomedical equipment items still unknown : report to the Chairman, Subcommittee on Oversight and Investigations, Committee on Veterans' Affairs, House of Representatives by :

Download or read book Year 2000 computing crisis compliance status of many biomedical equipment items still unknown : report to the Chairman, Subcommittee on Oversight and Investigations, Committee on Veterans' Affairs, House of Representatives written by and published by DIANE Publishing. This book was released on with total page 47 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Hedge Fund Compliance

Author : Jason A. Scharfman
Publisher : John Wiley & Sons
ISBN 13 : 1119240239
Total Pages : 214 pages
Book Rating : 4.1/5 (192 download)

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Book Synopsis Hedge Fund Compliance by : Jason A. Scharfman

Download or read book Hedge Fund Compliance written by Jason A. Scharfman and published by John Wiley & Sons. This book was released on 2016-12-19 with total page 214 pages. Available in PDF, EPUB and Kindle. Book excerpt: The long-awaited guide for modern hedge fund compliance program development Hedge Fund Compliance + Website provides straightforward, practical guidance toward developing a hedge fund compliance program, drawn from the author's experience training financial regulators, consulting with government entities, and analyzing hedge fund compliance structures across the globe. In-depth explanations of compliance principles are backed by illustrative case studies and examples. Highly in-demand templates of popular hedge fund compliance documentation provide actionable illustrations of key compliance policies. Designed to assist investors, fund managers, service providers, and compliance job seekers directly, this book describes the fundamental building blocks of the hedge fund compliance function. Compliance is one of the fastest growing areas in the hedge fund space. This reference book provides an essential foundation in modern hedge fund compliance, reflecting the recent changes of this dynamic field. Design and run a hedge fund compliance program Access templates of core compliance documentation and checklists Discover how investors can evaluate and monitor compliance programs Interviews with hedge fund compliance practitioners A steady stream of regulatory changes, combined with the enhanced enforcement efforts of regulators, ensure that hedge funds' compliance-related expenditures will continue to grow. While hedge fund compliance legislation continues to evolve globally, little practical guidance exists for those tasked with the boots-on-the-ground aspects of developing an actual compliance program to comply with best practices and regulatory guidance from leading hedge fund regulators including the US Securities and Exchange Commission, the National Futures Association, the Commodity Futures Trading Commission and the United Kingdom's Financial Conduct Authority. Hedge fund professionals and investors need a fundamental framework for establishing and evaluating an effective program, and when compliance is the issue, trial and error carries too much risk. Hedge Fund Compliance + Website provides clear guidance and practical tools to meet today's compliance professional needs.

Governance, Compliance and Supervision in the Capital Markets, + Website

Author : Sarah Swammy
Publisher : John Wiley & Sons
ISBN 13 : 1119380642
Total Pages : 176 pages
Book Rating : 4.1/5 (193 download)

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Book Synopsis Governance, Compliance and Supervision in the Capital Markets, + Website by : Sarah Swammy

Download or read book Governance, Compliance and Supervision in the Capital Markets, + Website written by Sarah Swammy and published by John Wiley & Sons. This book was released on 2018-04-20 with total page 176 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 organization Delve 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.