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

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.

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Monograph Book
Published:
20 Apr 2023
DOI:
https://doi.org/10.4337/9781800889576
Collection:
Law 2023
Cover Strategies for Minimizing Risk Under the Foreign Corrupt Practices Act and Related Laws
Strategies for Minimizing Risk Under the Foreign Corrupt Practices Act and Related Laws
In the minds of some, complying with the US Foreign Corrupt Practices Act and related laws such as the UK Bribery Act is easy: ‘you just don’t bribe’. The reality, as sophisticated professionals know, is not so simple. This book is for professionals across various disciplines who recognize the difficulties of compliance and want to learn strategies for minimizing risk under aggressively enforced corporate bribery laws. The book uses issue-spotting scenarios to present risk and guides professionals through various components of compliance best practices from the fundamentals of conducting a risk assessment and effectively communicating compliance expectations, to implementing and overseeing compliance strategies.
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Monograph Book
Published:
26 Oct 2018
DOI:
https://doi.org/10.4337/9781788114936
Collection:
Law 2018