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Broker-Dealer Compliance
Broker-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.
- Undertitel
- A Case-based Guide to Compliance Program Elements and Practices
- Författare
- James A. Fanto
- ISBN
- 9781800889583
- Språk
- Engelska
- Vikt
- 188 gram
- Utgivningsdatum
- 2023-05-19
- Sidor
- 222
