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

by H. David Kotz (Author)

Devise an organized, proactive approach to financial compliance

Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities. Written by David Kotz, former Inspector General of the SEC with additional guidance provided by leading experts, this book is a one-stop resource for navigating the numerous regulations that have been enacted in response to the financial crisis. You'll learn how best to defend your organization from SEC, CFTC, FINRA, and NFA Enforcement actions, how to prepare for SEC, FINRA, and NFA regulatory examinations, how to manage the increasing volume of whistleblower complaints, how to efficiently and effectively investigate these complaints, and more. Detailed discussion of the regulatory process explains how aggressive you should be in confronting federal agencies and self-regulatory organizations and describes how commenting on issues that affect your business area can be productive or not. The companion website includes a glossary of terms, regulations and government guidance, relevant case law, research databases, and FAQs about various topics, giving you a complete solution for keeping abreast of evolving compliance issues.

These days, compliance professionals are faced with a myriad of often overlapping regulatory challenges. Increased aggressiveness on the part of regulators has led to increased demand on financial firms, but this book provides clear insight into navigating the changes and building a more robust compliance function.

• Strengthen internal compliance and governance programs
• Manage whistleblower programs and conduct effective investigations
• Understand how to minimize exposure and liability from Enforcement actions
• Learn how to prepare for the different types of regulatory examinations
• Minimize exposure from FCPA violations
• Understand the pros and cons of commenting on regulations

The volume and pace of regulatory change is causing new and diverse pressures on compliance professionals. Navigate the choppy waters successfully with the insider guidance in Financial Regulation and Compliance.

Front Jacket

The tremendous volume and accelerated pace of regulatory change combined with overlapping requirements and the increased aggressiveness on the part of regulators has led to a greater demand for compliance on the part of financial firms.

In order to respond appropriately to regulatory requirements, companies must develop effective policies and procedures, ensure internal accountability, and establish an ethical culture throughout the organization. Financial Regulation and Compliance and its companion website provide a comprehensive guide for managing overlapping and new regulatory responsibilities. Author David Kotz - former Inspector General of the SEC - with support from leading expert contributors, has written an important resource for navigating the numerous regulations that have been enacted in response to the financial crisis and offers the necessary tools to meet the challenge of confusing regulatory requirements.

Using this resource, compliance professionals will have a clear understanding of how to defend their organizations from SEC, CFTC, FINRA, and NFA enforcement actions and will receive guidance for preparing for SEC, FINRA, and NFA regulatory examinations. In addition, the author offers important information for managing the increasing volume of whistleblower complaints, reducing FCPA exposure, and shows how to efficiently and effectively conduct an internal investigation in order to respond appropriately to regulatory requirements.

Kotz includes a thorough discussion of the regulatory process and explains how assertive to be when confronting each particular federal agency and self-regulatory organization. He explains how to establish collegial and positive relationships with regulators by understanding their unique regulatory mission, perspective and processes, listening to concerns, being organized, open, and responsive in regulatory communications, and demonstrating that the mutual goal is full compliance.

The companion website includes a glossary of terms, research databases, which include regulations and governmental guidance, and FAQs about various topics covered in the text. It also offers a solution for keeping abreast of evolving compliance issues.

Financial Regulation and Compliance provides clear insight for understanding compliance changes in order to build a more robust compliance function.

Back Jacket

The tremendous volume and accelerated pace of regulatory change combined with overlapping requirements and the increased aggressiveness on the part of regulators has led to a greater demand for compliance on the part of financial firms.

In order to respond appropriately to regulatory requirements, companies must develop effective policies and procedures, ensure internal accountability, and establish an ethical culture throughout the organization. Financial Regulation and Compliance and its companion website provide a comprehensive guide for managing overlapping and new regulatory responsibilities. Author David Kotz - former Inspector General of the SEC - with support from leading expert contributors, has written an important resource for navigating the numerous regulations that have been enacted in response to the financial crisis and offers the necessary tools to meet the challenge of confusing regulatory requirements.

Using this resource, compliance professionals will have a clear understanding of how to defend their organizations from SEC, CFTC, FINRA, and NFA enforcement actions and will receive guidance for preparing for SEC, FINRA, and NFA regulatory examinations. In addition, the author offers important information for managing the increasing volume of whistleblower complaints, reducing FCPA exposure, and shows how to efficiently and effectively conduct an internal investigation in order to respond appropriately to regulatory requirements.

Kotz includes a thorough discussion of the regulatory process and explains how assertive to be when confronting each particular federal agency and self-regulatory organization. He explains how to establish collegial and positive relationships with regulators by understanding their unique regulatory mission, perspective and processes, listening to concerns, being organized, open, and responsive in regulatory communications, and demonstrating that the mutual goal is full compliance.

The companion website includes a glossary of terms, research databases, which include regulations and governmental guidance, and FAQs about various topics covered in the text. It also offers a solution for keeping abreast of evolving compliance issues.

Financial Regulation and Compliance provides clear insight for understanding compliance changes in order to build a more robust compliance function.

Author Biography

H. DAVID KOTZ serves as a Managing Director at Berkeley Research Group (BRG), an international expert services and consulting firm that offers independent expert testimony, litigation and regulatory support, authoritative studies, strategic advice, and document and data analytics. At BRG, Kotz focuses on internal investigations and consults with and provides expert testimony on the regulation of and securities trading by broker-dealers, investment advisers, hedge funds, insurance companies and banks. He also serves as a compliance monitor for firms that have entered into deferred prosecution agreements and similar arrangements with government agencies. Previously, Kotz served as the Inspector General of the Securities and Exchange Commission (SEC).