Regulatory Compliance Fundamentals

by M.L. Humphrey

We live in a regulated world. And for someone whose role is in regulatory compliance or regulatory enforcement knowledge is often gained on an ad hoc basis through trial and error, via on the job training, or through conversations with others in a similar role.

In Regulatory Compliance Fundamentals M.L. Humphrey has taken twenty years of experience as a regulator and a consultant in the financial services industry and boiled it down to the basic fundamental principles every individual in regulatory compliance should know and presented that information in a straight-forward, easy to understand manner.

If your role is in regulatory compliance, no matter how long you've been at this, this book is for you.

102 pages, ebook

Published January 2, 2020

Reviews

[Joana · Rating 4 out of 5]

the book offers a clear guide to the basics of regulatory compliance, emphasizing the importance of adhering to laws, risk management, and building a strong compliance culture within organizations. It outlines the role of compliance officers and provides practical strategies for implementing compliance programs effectively. It’s all high-level and doesn’t go into much detail.

[Natalia Kret · Rating 5 out of 5]

Very practical!!