Title: Broker-Dealer Compliance - A Case-based Guide to Compliance Program Elements and Practices
Publisher: Edward Elgar
Publication Date: 2023
Language: English
ISBN 10: 1800889569
ISBN 13: 9781800889569
Binding: HRD
Condition: New
Weight: 401 grams

About this title

Synopsis

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.

About the Author

James A. Fanto, Gerald Baylin Professor of Law and Co-Director, Center for the Study of Business Law and Regulation, Brooklyn Law School, US

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