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The Fundamentals of Compliance

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Book Details
Language
English
Publishers
The Book Publishing Pros (17 July 2024)
Weight
0.23 KG
Publication Date
17/07/2024
Pages
170 pages
ISBN-13
9798330292806
Dimensions
15.24 x 0.91 x 22.86 cm
SKU
9798330292806
Author Name
James R Downing (Author
James Downing has 20+ years of experience in Compliance in the broker dealer, investment advisory and investment company industries. James has held several senior leadership roles as Chief Compliance Officer in various organizations in the financial services industry. Prior to working in the public sector James was a FINRA examiner from the Chicago District Office for 5 years. James has his Juris Doctorate with honors from Taft Law School and a Master of Accounting with honors from Roosevelt University. James has his series 7, 24, 27, 53, and 66 from FINRA. Jim actively participates on several NSCP committees and was formerly the Chair of the Board.Read more about this authorRead less about this author
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Description
The Fundamentals of Compliance is a book about the necessary building blocks for creating a successful compliance program in any industry. This book which covers the five fundamentals: risk assessments, policies, procedures and training, monitoring and testing, issues and exams, and reporting is meant to give you a broad overview of what a compliance program structure should look like.

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