Governance, Compliance, and Supervision in the Capital Markets + Website

Financial Services/banks are under heavy regulatory scrutiny and have to implement comprehensive controls and governance to comply with new rules and regulations that are changing how these firms conduct business. Firms are looking for practical guidance on governance frameworks and balancing compliance and supervisory requirements with getting business done. With the goal of demystifying the capital markets' regulatory environment and providing a practical approach to meeting these requirements and the required governance framework, the book will be a flexible road map that readers may build upon as they move throughout their career. Both a broad overview and in-depth detail around the application of governance, compliance, and supervision of various rules and regulations, the book will cover: Governance, the effect of "Tone at the Top" at all levels of the organization The regulatory scheme applicable to broker dealers, banks, and investment advisers. The various compliance positions and roles within a financial services organization. The regulatory exam process. The role of compliance and supervision within a financial services organization. The difference between compliance and supervision and the importance of maintaining a clear distinctions between the two functions. An overview of the risk of failing to reasonably supervise a firm and or individual and the consequences to that firm.