Broker-Dealer Compliance - A Case-based Guide to Compliance Program Elements and Practices (Hardcover)

Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years. James Fanto discusses the main, well-established elements and practices in a broker-dealer compliance program and illustrates them with case studies and practical examples drawn from real-life situations to demonstrate the goals of a particular program element and problems in its implementation. Moreover, each chapter highlights the pressures on compliance officers and the trends that collectively may transform compliance practice in a particular area. Professionals in broker-dealer and investment firm compliance practice will find this book a readable introduction to the field. Experienced practitioners can refresh their knowledge and even learn something new about brokerage compliance program elements and practices.

General

Imprint:	Edward Elgar Publishing Ltd
Country of origin:	United Kingdom
Series:	Elgar Compliance Guides
Release date:	April 2023
Authors:	James A. Fanto
Dimensions:	216 x 138mm (L x W)
Format:	Hardcover
Pages:	222
ISBN-13:	978-1-80088-956-9
Categories:	Books > Law > General
LSN:	1-80088-956-9
Barcode:	9781800889569

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