Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices

Author: James A. Fanto
Publisher: Edward Elgar Publishing
ISBN: 9781800889583

Published In: April 2023
Format: Paperback
Jurisdiction: U.K. ? Disclaimer:
Countri(es) stated herein are used as reference only
Hardback Edition ISBN: 9781800889569

List Price: HKD 779.35

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Description
Contents

Details

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.

Preface

1. Introduction: why broker-dealer compliance?

2. Compliance risk management

3. Compliance policies and procedures

4. Compliance training

5. Compliance advice, ethics, and culture

6. Compliance monitoring and surveillance

7. Compliance investigations

8. Evaluation of the compliance program

9. Specialized compliance in broker-dealers

10. Compliance officer’s relationship with regulators

11. Reflections on the future of broker-dealer compliance