The definitive guide to capital markets regulatory compliance
Banks and financial services firms currently 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. Throughout, the authors take care to balance supervisory and compliance requirements against the need to do business.
From regulatory schemes to individual roles and responsibilities, Governance, Compliance, and Supervision in the Capital Markets:
- Presents a coherent framework for firms seeking a practical approach to meeting the latest requirements
- Provides an overview of governance, compliance, and supervision
- Highlights the most pressing issues in today′s financial services organizations
- Delivers detailed guidance on application with examples of real–world implementation
- Includes a companion website with checklists and other valuable tools, as well as sample exercises that reinforce understanding and help facilitate implementation
Demystifying today′s complex regulatory environment and providing a practical, accessible, readily adaptable roadmap for compliance, Governance, Compliance, and Supervision in the Capital Markets is a must–have "tool of the trade" for all financial institutions and finance professionals.