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Types of Securities: Guide for Financial Professionals

Bob Walsh

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ISBN 10: 1518729568 / ISBN 13: 9781518729560
Published by CreateSpace Independent Publishing Platform, 2015
Condition: Good Soft cover
From Books Express (Portsmouth, NH, U.S.A.)

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Bibliographic Details

Title: Types of Securities: Guide for Financial ...

Publisher: CreateSpace Independent Publishing Platform

Publication Date: 2015

Binding: Paperback

Book Condition:Good

Edition: 1.

About this title


This book is a must for all banking and financial professionals! It provides a profile of the various types of securities as authored by Bob Walsh, is a subject-matter-expert in the international banking and financial services industry. As one of the leading authorities in the field, Mr. Walsh assists banks with AML/KYC auditing, investigations, compliance assessments, remediations and related AML/KYC technical training. His office is located in New York; he may be contacted by email at:

About the Author:

Mr. Walsh is a subject-matter-expert for international banking and the financial services industry. He is a CAMs certified Anti-money Laundering (AML) / Know-Your-Customer (KYC) specialist with over 30 years international, “hands-on” experience. Early in his career, Mr. Walsh learned the business of banking, securities and compliance first-hand by working from the bottom up at the New York Stock Exchange, the Depository Trust Company, NSCC, and some of the largest banks in the world. Later, after serving as a Vice President at leading money-center banks managing global securities business, Mr. Walsh worked on consulting projects involving AML/KYC investigations for AML transaction monitoring, AML Lookbacks, SARs writing, Currency Transaction Reports, KYC remediations, AML/KYC best practices and AML/KYC technical training. Mr. Walsh established a MBA accredited program at New York University and Wayne State University on International Capital Markets, and conducted training for FBI Special Agents, Federal Reserve Bank of New York Examiners, SWIFT global managers, and compliance staff at large and small banks. Mr. Walsh has authored several popular financial industry texts including: AML Compliance Handbook; Auditing and Controls for AML Compliance; AML Transaction Monitoring; Audit and Controls for AML Compliance; Currency Transaction Reporting (CTRs); ERISA Pension Fund Compliance; SEC Compliance for Mutual Funds; Foreign Exchange; Global Custody Services; The Global Securities Industry; Sub-custodian Network Management; Securities Lending; International Capital Markets; Investment Banking; and, Types of Securities. As one of the leading authorities in the field, Mr. Walsh assists banks with AML/KYC compliance investigations and also conducts related technical training. He may be contacted by email at

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