New Book by Former SEC Inspector General on Navigating an Increasingly Complex Regulatory Environment
H. David Kotz's new book, Financial Regulation and Compliance: How to Manage Competing and Overlapping Regulatory Oversight, provides compliance professionals with a one-stop resource for navigating the numerous regulations enacted in response to the financial crisis.
In the book, Kotz details topics including how to: best defend your organization from SEC, CFTC, FINRA, and NFA enforcement actions; prepare for SEC, FINRA, and NFA regulatory examinations; manage the increasing volume of whistleblower complaints; and efficiently and effectively investigate these complaints. He also discusses the regulatory process and explains how aggressive professionals should be in confronting federal agencies and self-regulatory organizations. Kotz also describes whether commenting on issues that affect certain business areas can be productive.
The book, part of the Wiley Finance Series, is essential reading for compliance professionals navigating regulatory changes and will help build a more robust compliance function.