Financial Regulation and Compliance: How to Manage Competing and Overlapping Regulatory Oversight, + Website

Devise an Organized and Proactive Approach to Financial Compliance

"The financial regulatory system has been modified to address various sources of potential financial instability and attempt to provide regulation and a structure for areas with purported regulatory gaps. With each new crisis, efforts are made to address perceived weaknesses in the regulatory system. The result is a complex regulatory system in which federal agencies have overlapping jurisdictions."
—From Chapter 1

Financial Regulation and Compliance offers compliance officers and organization leaders a step-by-step guide for managing overlapping and new regulatory responsibilities. David Kotz (a former Inspector General of the SEC), with support from leading expert contributors, includes the information and strategies needed for understanding and applying the numerous regulations that have been enacted since the most recent global financial crisis.

Comprehensive in scope, the book and companion website reveal how an organization can strengthen internal compliance and governance programs and defend from SEC, CFTC, FINRA, and NFA enforcement actions. The text also reveals how to best prepare for SEC, FINRA, and NFA regulatory examinations.

Kotz includes vital information for handling the increasing volume of whistleblower events and shows what it takes to effectively address these complaints. He also provides advice on how to reduce FCPA exposure and implement effective ethics policies and procedures. This detailed discussion of the regulatory process explains how to best deal with federal agencies and self-regulatory organizations and cautions how commenting on issues that affect a business area can be either productive or counterproductive.

In addition, the book is filled with fascinating stories and anecdotes from the high-profile investigations the author conducted while serving as Inspector General of the SEC, including his investigation of Bernard Madoff's $50 billion Ponzi scheme.

With Financial Regulation and Compliance as your hands-on guide, you will be able to successfully navigate the turbid waters currently faced by global compliance professionals.