Broker-dealer compliance : a case-based guide to compliance program elements and practices / James A. Fanto (Gerald Baylin professor of law and co-director, Center for the Study of Business Law and Regulation, Brooklyn Law School, US).

9781800889576 (e-book)

Northampton : Edward Elgar Publishing, 2023.

1 online resource (222 pages).

Description based on print record.

"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"-- Provided by publisher.

Books / Online

English

September 13, 2023

Includes bibliographical references and index.

Electronic books.

Edward Elgar Publishing, publisher.