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

by David H. Lui, Jason K. Mitchell, John H. Walsh

Book Overview

In a world of ever-increasing complexity, Modern Compliance is the new industry standard for thehard facts and soft skills of compliance best practices. It is written to help understand the internalcontrol structures and ethical considerations necessary to navigate one of the most challengingroles in American business today: Chief Compliance Officer at a financial services firm. It bringstogether the scholarship of 30 of the best known professionals...

• Format: Hardcover
• Language: English
• ISBN: 0808043013
• ISBN13: 9780808043010
• Release Date: October 2015
• Publisher: CCH Inc.
• Length: 832 Pages
• Weight: 3.56 lbs.