{"product_id":"governance-compliance-and-supervision-in-the-capital-markets-website-hardback-9781119380658","title":"Governance, Compliance and Supervision in the Capital Markets, + Website (Hardback) 9781119380658","description":"\u003cfont face=\"Georgia\"\u003e\r\n\u003cp\u003e\u003cfont size=\"6\"\u003eGovernance, Compliance and Supervision in the Capital Markets, + Website\u003c\/font\u003e\u003cbr\u003e\r\n\r\n\r\n\r\n\r\n\r\n\u003c\/p\u003e\n\u003cp\u003e\u003cfont size=\"4\"\u003eSarah Swammy (Author), Michael McMaster (Author)\u003c\/font\u003e\u003c\/p\u003e\r\n\r\n\u003cp\u003e\u003cfont size=\"3\"\u003e9781119380658, Wiley\u003c\/font\u003e\u003c\/p\u003e\r\n\r\n\u003cp\u003e\u003cfont size=\"3\"\u003eHardback, published 22 June 2018\u003c\/font\u003e\u003c\/p\u003e\r\n\r\n\u003cp\u003e\u003cfont size=\"3\"\u003e176 pages\u003cbr\u003e22.4 x 15 x 2 cm, 0.386 kg\u003c\/font\u003e\u003c\/p\u003e\r\n\r\n\r\n\r\n\r\n\r\n\u003cp align=\"justify\"\u003e\u003cstrong\u003e\u003cfont size=\"3\"\u003e\u003cp\u003e\u003cb\u003eThe definitive guide to capital markets regulatory compliance\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e\u003ci\u003eGovernance, Compliance, and Supervision in the Capital Markets\u003c\/i\u003e demystifies the regulatory environment, providing a practical, flexible roadmap for compliance. Banks and financial services firms are under heavy regulatory scrutiny, and must implement comprehensive controls to comply with new rules that are changing the way they conduct business. This book provides a way forward, with clear, actionable guidance that strengthens governance at all levels, and balances supervisory and compliance requirements with the need to do business. From regulatory schemes to individual roles and responsibilities, this invaluable guide details the most pressing issues in today's financial services organizations, and provides expert advice. The ancillary website provides additional tools and guidance, including checklists, required reading, and sample exercises that help strengthen understanding and ease real-world implementation.\u003c\/p\u003e \u003cp\u003eProviding both a broad overview of governance, compliance, and supervision, as well as detailed guidance on application, this book presents a solid framework for firms seeking a practical approach to meeting the new requirements.\u003c\/p\u003e \u003cul\u003e \u003cli\u003eUnderstand the importance of governance and \"Tone at the Top\"\u003c\/li\u003e \u003cli\u003eDistinguish the roles of compliance and supervision within a financial services organization\u003c\/li\u003e \u003cli\u003eDelve into the regulatory scheme applicable to broker dealers, banks, and investment advisors\u003c\/li\u003e \u003c\/ul\u003e \u003cul\u003e \u003cli\u003eExamine the risks and consequences of inadequate supervision at the organizational or individual level\u003c\/li\u003e \u003c\/ul\u003e \u003cp\u003eThe capital markets regulatory environment is complex and ever-evolving, yet compliance is mandatory. A solid understanding of regulatory structure is critical, but must also be accompanied by a practical strategy for effective implementation. \u003ci\u003eGovernance, Compliance, and Supervision in the Capital Markets\u003c\/i\u003e provides both, enabling today's banks and financial services firms to get back on track and get back to business.\u003c\/p\u003e\u003c\/font\u003e\u003c\/strong\u003e\u003c\/p\u003e\r\n\r\n\u003cp\u003e\u003cfont size=\"3\"\u003e\u003cp\u003ePreface vi\u003c\/p\u003e \u003cp\u003eAcknowledgments vii\u003c\/p\u003e \u003cp\u003eAbout the Authors ix\u003c\/p\u003e \u003cp\u003eCHAPTER 1 Capital Markets Participants, Products, and Functions 1\u003c\/p\u003e \u003cp\u003eCHAPTER 2 How the Financial Crisis Reshaped the Industry 23\u003c\/p\u003e \u003cp\u003eCHAPTER 3 Governance 33\u003c\/p\u003e \u003cp\u003eCHAPTER 4 Overview: Capital Markets Compliance 57\u003c\/p\u003e \u003cp\u003eCHAPTER 5 Overview: Supervision 89\u003c\/p\u003e \u003cp\u003eCHAPTER 6 Central Role of Finance and Operations 99\u003cbr\u003e\u003ci\u003eIan J. Combs, Esq.\u003c\/i\u003e\u003c\/p\u003e \u003cp\u003eCHAPTER 7 Cyber Risk Role in Governance Model and Compliance Framework 129\u003cbr\u003e\u003ci\u003eAlexander Abramov\u003c\/i\u003e\u003c\/p\u003e \u003cp\u003eAbout the Companion Website 157\u003c\/p\u003e \u003cp\u003eIndex 159\u003c\/p\u003e\u003c\/font\u003e\u003c\/p\u003e\r\n\r\n\u003cp\u003e\u003cfont size=\"3\"\u003eSubject Areas: Finance \u0026amp; accounting [\u003ca title=\"See our other books on Finance \u0026amp; accounting\" href=\"https:\/\/freshlyprintedbooks.co.uk\/search?q=%22Finance%20\u0026amp;%20accounting%20%5BKF%5D%22\"\u003eKF\u003c\/a\u003e]\u003c\/font\u003e\u003c\/p\u003e\r\n\r\n\r\n\u003c\/font\u003e","brand":"Wiley","offers":[{"title":"Brand New","offer_id":52165878415640,"sku":"9781119380658","price":53.29,"currency_code":"GBP","in_stock":true}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/0730\/2037\/5320\/files\/9781119380658.jpg?v=1781101361","url":"https:\/\/freshlyprintedbooks.co.uk\/products\/governance-compliance-and-supervision-in-the-capital-markets-website-hardback-9781119380658","provider":"Freshly Printed Books","version":"1.0","type":"link"}