Modern Compliance: Best Practices for Securities & Finance, Volume 1

Modern Compliance: Best Practices for Securities & Finance, Volume 1 by David H. Lui. hardcover edition. ISBN: 9780808043010.

Modern financial services compliance practice bears scant resemblance to the compliance practiced thirty or forty years ago. Increased regulatory change, market abuse, and scandal have driven firms to understand the business necessity of solid compliance programs. Chief Compliance Officers are now given the proverbial seat at the table with increased resources, staff, and the accompanying scrutiny of their Boards of Directors, clients, regulators, and the investing public. Modern Compliance: Best Practices for Securities & Finance, Volume 1 is the work of some of the industry s foremost thought leaders, who bring decades of experience in developing and enhancing the practice of compliance. Volume 1 delves not only into the black letter law requirements of the compliance professional s job, but also into the attitudes, soft-skills, and finesse required to do it effectively. It serves as a solid introduction to the skills necessary for those new to the field as well as a refresher for seasoned compliance professionals. Volume 1 provides a foundational understanding of financial services compliance. Beneficial to regulators, practitioners, as well as consumers, it prepares the reader to realize opportunities and address challenges in this ever-changing field.