Sign-In
Cart
Essential Strategies for Financial Services Compliance
Hardcover
ISBN13: 9781118906132
Publisher: Wiley
Published: Nov 16 2015
Pages: 400
Weight: 1.85
Height: 1.10 Width: 6.60 Depth: 9.70
Language: English
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.
Also in
Accounting
1929: Inside the Greatest Crash in Wall Street History--And How It Shattered a Nation
Sorkin, Andrew Ross
Hardcover
Bookkeeping - Accounting for Small Business: A Quickstudy Laminated Reference Guide
Epstein, Lita
Other
How to Get Rich in American History: 300 Years of Financial Advice That Worked (& Didn't)
Moore Phd, Joseph S.
Hardcover
Too Big to Fail: The Inside Story of How Wall Street and Washington Fought to Save the Financial System--and Themselves
Sorkin, Andrew Ross
Paperback
Indispensable: How to Become the Company That Your Customers Can't Live Without
Calloway, Joe
Hardcover
Accounting for Beginners (All-in-One): Everything You Need to Learn Financial & Managerial Accounting Even Without Prior Experience. Master Financial
Publications, Finance Knights
Paperback
$100m Lost Chapters: Lost Treasures from $100M Offers, $100M Leads, and $100M Money Models
Hormozi, Alex
Hardcover
Tax-Free Wealth: How to Build Massive Wealth by Permanently Lowering Your Taxes
Wheelwright, Tom
Paperback
1929: Inside the Greatest Crash in Wall Street History--And How It Shatteredâ a Nation (Large Print Edition)
Sorkin, Andrew Ross
Paperback
Ofertas de $100M: Cómo presentar ofertas tan buenas que la gente sienta que es estúpida si dice que no
Hormozi, Alex
Hardcover
Financial Intelligence: A Manager's Guide to Knowing What the Numbers Really Mean
Berman, Karen
Knight, Joe
Hardcover
El Hombre Más Rico De Babilonia - Richest Man In Babylon - Spanish Edition
Clason, George S.
Paperback
The House of Morgan: An American Banking Dynasty and the Rise of Modern Finance
Chernow, Ron
Paperback
The Problem with Personalization: How Advertisers Learned to Make and Break Us from Ancient Times to the AI Age
Turow, Joseph
Hardcover
No Bullsh*t Branding: A Step-By-Step Guide to Discover, Design, and Deliver Your Brand
Made by James
Martin, James
Hardcover
Alchemy: The Dark Art and Curious Science of Creating Magic in Brands, Business, and Life
Sutherland, Rory
Paperback
Prospectos de $100M: Cómo conseguir que los desconocidos quieran comprar lo que vendes
Hormozi, Alex
Paperback
Obvious Adams -- The Story of a Successful Businessman: New Business Edition
Updegraff, Robert R.
Paperback
Payments Systems in the U.S.: A Guide for the Payments Professional
Loftesness, Scott
Benson, Carol Coye
Jones, Russ
Paperback
Odds Are It's Marketing: A Practical Guide to Spotting Trends, Building Strategy, and Driving Growth
Ling, Shanise
Paperback
Yes!: 50 Scientifically Proven Ways to Be Persuasive
Cialdini, Robert
Goldstein, Noah J.
Martin, Steve J.
Paperback
Financial Literacy for All: Disrupting Struggle, Advancing Financial Freedom, and Building a New American Middle Class
Bryant, John Hope
Paperback
The Lords of Easy Money: How the Federal Reserve Broke the American Economy
Leonard, Christopher
Paperback
The Richest Man in Babylon - The Original 1926 Classic (Reader's Library Classics)
Clason, George S.
Paperback
Choose FI: Your Blueprint to Financial Independence
Mamula, Chris
Barrett, Brad
Mendonsa, Jonathan
Paperback
Financial Statements: A Step-By-Step Guide to Understanding and Creating Financial Reports (Over 200,000 Copies Sold!)
Ittelson, Thomas
Paperback
Twenty Ads That Shook the World: The Century's Most Groundbreaking Advertising and How It Changed Us All
Twitchell, James
Paperback
Credit to the Nation: Eastern European Jewish Immigrant Bankers and the Shaping of American Finance, 1873-1930
Kobrin, Rebecca
Hardcover
The Accounting Game: Basic Accounting Fresh from the Lemonade Stand
Mullis, Darrell
Orloff, Judith
Paperback
The Next Millionaire Next Door: Enduring Strategies for Building Wealth
Fallaw, Sarah Stanley, PH. D.
Stanley, Thomas J., PH. D.
Paperback
Hide Your Assets and Disappear: A Step-By-Step Guide to Vanishing Without a Trace
Pankau, Edmund
Paperback
Spark Brilliance: How the Science of Positive Psychology Will Ignite, Engage, and Transform Your Team
Insinger, Jackie
Hardcover
No New Things: A Radically Simple 30-Day Guide to Saving Money, the Planet, and Your Sanity
Piper, Ashlee
Hardcover
Walk in the Other Guy's Shoes: 25 Lessons for the Marketing, Procurement, and Agency Triangle
Davis, Joanne
Hardcover
Accounting All-In-One for Dummies (+ Videos and Quizzes Online)
Taillard, Michael
Kraynak, Joseph
Boyd, Kenneth W.
Paperback
Financial Intelligence for Entrepreneurs: What You Really Need to Know about the Numbers
Berman, Karen
Knight, Joe
Paperback
The New Adventures of Cryptodad: The Quest for Financial Freedom in the 21st Century
Giancarlo, J. Christopher
Hardcover
The Power of Visual Storytelling: How to Use Visuals, Videos, and Social Media to Market Your Brand
Walter, Ekaterina
Gioglio, Jessica
Paperback
Better Selling Through Storytelling: The Essential Roadmap to Becoming a Revenue Rockstar
Livesay, John
Paperback
Inventory Log: Large Inventory Log Book - 120 Pages for Business and Home - Perfect Bound
Press, Red Tiger
Paperback
The Accounting for the Numberphobic: A Survival Guide for Small Business Owners
Fotopulos, Dawn
Paperback
The Redleaf Calendar-Keeper 2026: A Record-Keeping System for Family Child Care Professionals
Press, Redleaf
Hardcover
Cashvertising: How to Use More Than 100 Secrets of Ad-Agency Psychology to Make Big Money Selling Anything to Anyone
Whitman, Drew Eric
Paperback
Billion Dollar Whale: The Man Who Fooled Wall Street, Hollywood, and the World
Hope, Bradley
Wright, Tom
Paperback
$100M Offers Summary and Workbook: How To Make Offers So Good People Feel Stupid Saying No
Hormozi, Alex
Hardcover
The 22 Immutable Laws of Branding: How to Build a Product or Service Into a World-Class Brand
Ries, Al
Ries, Laura
Paperback
The Luxury Strategy: Break the Rules of Marketing to Build Luxury Brands
Bastien, Vincent
Kapferer, Jean-Noël
Hardcover
Keyboard Rich: How Anyone Can Earn Six Figures from Home with a Simple Bookkeeping Business
Von Fumetti, Bill
Paperback
The McGraw-Hill 36-Hour Course: Accounting
Davidoff, Howard
Dixon, Robert L.
Arnett, Harold E.
Paperback
Corporate Financing and Governance in Japan: The Road to the Future
Hoshi, Takeo
Kashyap, Anil K.
Paperback
Mortgages 101: Quick Answers to Over 250 Critical Questions about Your Home Loan
Reed, David
Paperback
Trust Is the Strategy: Building Your Law Firm's Brand With Integrity
Amarir, Molly
Hargroder, Megan
Paperback
$100m Lost Chapters: Lost Treasures from $100M Offers, $100M Leads, and $100M Money Models
Hormozi, Alex
Paperback
So, You Want To Be An Internal Audit Rock Star?: Leadership Competencies to Help You Thrive
Rogers, Shane M.
Paperback
The American Nightmare: How Inflation, Debt, and Banks Hijacked the American Dream
Vasquez, John
Paperback
The Secret Language of Financial Reports: The Back Stories That Can Enhance Your Investment Decisions
Haskins, Mark E.
Paperback
The Wealthy Barber, Updated 3rd Edition: Everyone's Commonsense Guide to Becoming Financially Independent
Chilton, David
Paperback
Advice for a Successful Career in the Accounting Profession: How to Make Your Assets Greatly Exceed Your Liabilities
Maginnis, Jerry
Hardcover
The Truth about College: The Essential Guide for Parents and Teens--So You Can Make the Right Choice Together
Edelman, Ric
Hardcover
Hug Your Customers: The Proven Way to Personalize Sales and Achieve Astounding Results
Mitchell, Jack
Hardcover
Wiley GAAP 2026: Interpretation and Application of Generally Accepted Accounting Principles
Flood, Joanne M.
Paperback
Fearless Farm Finances: Farm Financial Management Demystified
Dietmann, Paul
Chase, Craig
Padgham, Jody L.
Paperback
Referrals Made Simple: How to Build a Predictable Stream of High-Quality Clients Without Advertising
Partridge, Howard
Hardcover
Cash Libre: 10 Pillars to Help You Reclaim Your Purpose and Financial Freedom
King, Luzy D.
Hardcover
Financial Literacy for All: Disrupting Struggle, Advancing Financial Freedom, and Building a New American Middle Class
Bryant, John Hope
Hardcover
How To Write An Inspired Creative Brief, 3rd Edition: A creative's advice on the first step of the creative process
Ibach, Howard
Paperback
$100M Leads Summary & Workbook: How to Get Strangers To Want To Buy Your Stuff
Hormozi, Alex
Paperback
The Copyselling System: Write to Sell with the Secret Formula for Maximizing Revenue
Wiebe, Joanna
Paperback
Mastering QuickBooks 2026 - Seventh Edition: The complete guide to small business accounting with US QuickBooks Online
Shelton, Crystalynn
Paperback
The Path to Sustained Excellence: Strategy, Culture and Team: The Story of WSFS into the 21st Century
Simon, Lizzie
Kriegstein, Brittany
Turner, Mark A.
Hardcover
Any Insights Yet?: Connect the dots. Create new categories. Transform your business.
Kocek, Chris
Paperback
The Future of Money: How the Digital Revolution Is Transforming Currencies and Finance
Prasad, Eswar S.
Hardcover
Failure Factory: How Baltimore City Public Schools Deprive Taxpayers and Students of a Future
Papst, Chris
Paperback
Accounting for Beginners (All-in-One): Everything You Need to Learn Financial & Managerial Accounting Even Without Prior Experience. Master Financial
Publications, Finance Knights
Hardcover