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Chief compliance officer Second Edition.
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What are the rules regarding the appointment of compliance officers ? Has your organization appointed a chief compliance officer? Does it go beyond that of just the financial markets? What internal resources do you currently leverage as part of your compliance program? Where do you believe the compliance function should report? This breakthrough Chief Compliance Officer self-assessment will make you the reliable Chief Compliance Officer domain veteran by revealing just what you need to know to be fluent and ready for any Chief Compliance Officer challenge. How do I reduce the effort in the Chief Compliance Officer work to be done to get problems solved? How can I ensure that plans of action include every Chief Compliance Officer task and that every Chief Compliance Officer outcome is in place? How will I save time investigating strategic and tactical options and ensuring Chief Compliance Officer costs are low? How can I deliver tailored Chief Compliance Officer advice instantly with structured going-forward plans? There's no better guide through these mind-expanding questions than acclaimed best-selling author Gerard Blokdyk. Blokdyk ensures all Chief Compliance Officer essentials are covered, from every angle: the Chief Compliance Officer self-assessment shows succinctly and clearly that what needs to be clarified to organize the required activities and processes so that Chief Compliance Officer outcomes are achieved. Contains extensive criteria grounded in past and current successful projects and activities by experienced Chief Compliance Officer practitioners. Their mastery, combined with the easy elegance of the self-assessment, provides its superior value to you in knowing how to ensure the outcome of any efforts in Chief Compliance Officer are maximized with professional results. Your purchase includes access details to the Chief Compliance Officer self-assessment dashboard download which gives you your dynamically prioritized projects-ready tool and shows you exactly what to do next. Your exclusive instant access details can be found in your book. You will receive the following contents with New and Updated specific criteria: - The latest quick edition of the book in PDF - The latest complete edition of the book in PDF, which criteria correspond to the criteria in... - The Self-Assessment Excel Dashboard - Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation - In-depth and specific Chief Compliance Officer Checklists - Project management checklists and templates to assist with implementation INCLUDES LIFETIME SELF ASSESSMENT UPDATES Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.
Corporate Legal Compliance Handbook, Third Edition, provides the knowledge necessary to implement or enhance a compliance program in a specific company, or in a client's company. The book focuses not only on doing what is legal or what is right--the two are both important but not always the same--but also on how to make a compliance program actually work. The book is organized in a sequence that follows how to approach a compliance program. It gives the compliance officer, consultant, or attorney a good grounding in the basics of compliance law. This includes such things as the rules about corporate and individual liability, an understanding of the basics of the key laws that impact companies, and the workings of the U.S. Sentencing Guidelines. Successful programs also require an understanding of educational techniques, good communication skills, and the use of computer tools. The effective compliance program also takes into account how to deliver messages using a variety of media to reach employees in different locations, of different ages or education, who speak different languages. Note: Online subscriptions are for three-month periods.
The first casebook on the law of governance, risk management, and compliance. Author Geoffrey P. Miller, a highly respected professor of corporate and financial law, also brings real world experience to the book as a member of the board of directors and audit and risk committees of a significant banking institution. The book addresses issues of fundamental importance for any regulated organization (the $13 billion settlement between JPMorgan Chase and its regulators is only one of many examples). This book can be a cornerstone for courses on compliance, corporate governance, or on the role of attorneys in managing risk in organizational clients. Features: Addresses issues of enormous and growing importance that are not covered by other law school casebooks. Presents numerous cutting edge issues in a rapidly growing body of law and practice. Covers a subject matter that is a major employment opportunity for law school graduates. Professors who adopt this book participate in a new and burgeoning field of academic study and legal practice. Covers general issues as well as specific fields of compliance and risk management. Includes two sets of case studies--one on cases where compliance programs broke down (e.g., Enron, WorldComm, and JP Global), and one on cases where risk management broke down (e.g., UBS and the financial crisis, and JPMorgan Chase and the London whale). Features fewer cases and a higher ratio of author-written text and materials drawn from regulatory publications than in typical law school casebooks. Authored by a professor who is also an independent director of a financial institution.
A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.