This book explores the fundamental elements and risks that impact the compliance officer’s work. Following a comprehensive understanding of the role of a comp
Bank Regulation, Risk Management, and Compliance is a concise yet comprehensive treatment of the primary areas of US banking regulation – micro-prudential, ma
Compliance is a fundamental control function within regulated industries globally. This book provides an expert introduction to corporate compliance using cases
The tools and information that build effective compliance programs Enterprise Compliance Risk Management: An Essential Toolkit for Banks and Financial Services
SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provide