Financial Regulation and Compliance: How to Manage Competing and Overlapping Regulatory Oversight - H. David Kotz
ISBN: 978-1-118-97221-2 Verdict: 👍👍 Note : Ive given this book 2 thumbs, primarily because its not for everyone and domain specific but this does not reflect the value I derived from it. If you work for a US🇺🇸 Regulated organisation or one that undertakes operations in the US and is thus subject to some of the strict US regulatory Controls ⚖️ then this is a book you should read. Some parts are very technical and go into detail around the creation and delivery of legislation but all in all its a well written book that delivers value and explains the role and capabilities (enforcement / fines) for some of the organisations e.g. Financial Industry Regulatory Authority (FINRA). I picked up this book as currently I am consulting for a Global bank with vast operations in the US and needed to understand the role of the SEC , FINRA etc and the book helped by starting in the forward with something that hits the nail on the head i.e. "Compliance is...