Description
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.
Book Information
ISBN 9781800889583
Author James A. Fanto
Format Paperback
Page Count 222
Imprint Edward Elgar Publishing Ltd
Publisher Edward Elgar Publishing Ltd