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James A. Fanto

Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices

Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices

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  • More about Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices

Format: Hardback
Length: 222 pages
Publication date: 20 April 2023
Publisher: Edward Elgar Publishing Ltd

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.


Dimension: 216 x 138 (mm)
ISBN-13: 9781800889569

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