Description
Book SynopsisThe definitive guide to capital markets regulatory compliance
Governance, Compliance, and Supervision in the Capital Markets demystifies the regulatory environment, providing a practical, flexible roadmap for compliance. Banks and financial services firms are under heavy regulatory scrutiny, and must implement comprehensive controls to comply with new rules that are changing the way they conduct business. This book provides a way forward, with clear, actionable guidance that strengthens governance at all levels, and balances supervisory and compliance requirements with the need to do business. From regulatory schemes to individual roles and responsibilities, this invaluable guide details the most pressing issues in today''s financial services organizations, and provides expert advice. The ancillary website provides additional tools and guidance, including checklists, required reading, and sample exercises that help strengthen understanding and ease real-world im
Table of Contents
Preface vi
Acknowledgments vii
About the Authors ix
CHAPTER 1 Capital Markets Participants, Products, and Functions 1
CHAPTER 2 How the Financial Crisis Reshaped the Industry 23
CHAPTER 3 Governance 33
CHAPTER 4 Overview: Capital Markets Compliance 57
CHAPTER 5 Overview: Supervision 89
CHAPTER 6 Central Role of Finance and Operations 99
Ian J. Combs, Esq.
CHAPTER 7 Cyber Risk Role in Governance Model and Compliance Framework 129
Alexander Abramov
About the Companion Website 157
Index 159
