1 hrs 47 mins | BUSINESS and ECONOMICSWe live in a regulated world. And for someone whose role is in regulatory compliance or regulatory enforcement knowledge is often gained on an ad hoc basis through trial and error, via on the job training, or through conversations with others in a similar role.
In Regulatory Compliance Fundamentals M.L. Humphrey has taken twenty years of experience as a regulator and a consultant in the financial services industry and boiled it down to the basic fundamental principles every individual in regulatory compliance should know, and presented that information in a straight-forward, easy to under...
We live in a regulated world. And for someone whose role is in regulatory compliance or regulatory enforcement knowledge is often gained on an ad hoc basis through trial and error, via on the job training, or through conversations with others in a similar role.
In Regulatory Compliance Fundamentals M.L. Humphrey has taken twenty years of experience as a regulator and a consultant in the financial services industry and boiled it down to the basic fundamental principles every individual in regulatory compliance should know, and presented that information in a straight-forward, easy to understand manner.
If your role is in regulatory compliance, no matter how long you've been at this, this book is for you.
| # | Title | Duration |
|---|---|---|
| 1. | Opening Credits Reg Comp |
0 mins 12 secs |
| 2. | Introduction |
8 mins 34 secs |
| 3. | Compliance As a Business Decision |
13 mins 31 secs |
| 4. | Determining Your Regulatory Requirements |
16 mins 11 secs |
| 5. | Policies Procedures Guidelines and Operations Manuals |
5 mins 52 secs |
| 6. | A Note on Corporate Structure and Tone at the Top |
6 mins 19 secs |
| 7. | A Note on Standardization and Assignment of Responsibility |
6 mins 47 secs |
| 8. | Your Compliance Tools |
14 mins 43 secs |
| 9. | The Role of the Audit Risk and Legal Departments |
3 mins 42 secs |
| 10. | Additional Considerations |
0 mins 38 secs |
| 11. | Sampling |
6 mins 42 secs |
| 12. | Risk Based Monitoring |
3 mins 59 secs |
| 13. | Exception Reports |
2 mins 28 secs |
| 14. | Root Cause Analysis |
2 mins 43 secs |
| 15. | Outsourcing |
2 mins 27 secs |
| 16. | Separation of Duties |
1 mins 55 secs |
| 17. | Timeliness vs Thoroughness of Reviews |
3 mins 53 secs |
| 18. | Conclusion |
1 mins 43 secs |
| 19. | Closing Credits Reg Comp |
0 mins 13 secs |
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