{"product_id":"9781800889583-broker","title":"Broker-Dealer Compliance","description":"\u003cmeta content=\"text\/html; charset=utf-8\" http-equiv=\"Content-Type\"\u003e\u003cp\u003e\u003cspan\u003eA Case-based Guide to Compliance Program Elements and Practices\u003cbr\u003eBroker-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.\u003cbr\u003e\u003ci\u003eBroker-Dealer Compliance\u003c\/i\u003e 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.\u003cp\u003e\u003cbr\u003e\u003cbr\u003eJames Fanto discusses the main, well-established elements and practices in a broker-dealer compliance program and illustrates them with case studies and practical examples drawn from real-life situations to demonstrate the goals of a particular program element and problems in its implementation. Moreover, each chapter highlights the pressures on compliance officers and the trends that collectively may transform compliance practice in a particular area.\u003c\/p\u003e\n\u003cp\u003e\u003cbr\u003e\u003cbr\u003eProfessionals in broker-dealer and investment firm compliance practice will find this book a readable introduction to the field. Experienced practitioners can refresh their knowledge and even learn something new about brokerage compliance program elements and practices.\u003c\/p\u003e\n\u003cp\u003e\u003c\/p\u003e\n\u003cbr\u003e\u003cbr\u003e\u003c\/span\u003e\u003c\/p\u003e","brand":"Rarewaves","offers":[{"title":"Default Title","offer_id":40903039287393,"sku":"9781800889583","price":60.6,"currency_code":"GBP","in_stock":true}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/0092\/7504\/8033\/files\/orig_26878223.jpg?v=1721321514","url":"https:\/\/www.rarewaves.com\/products\/9781800889583-broker","provider":"Rarewaves.com","version":"1.0","type":"link"}