Regulatory Compliance Fundamentals

Regulatory Compliance Fundamentals by M.L. Humphrey Audiobook
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Product Info

Sounded ID: 9798823404624

ISBN: 9798823404624

Publication Date: August 23, 2022

Publisher: M.L. Humphrey

Language: English

Author Name: M.L. Humphrey

Narrator Name: M.L. Humphrey

Studio Narrated Audiobook 1 hrs 47 mins | BUSINESS and ECONOMICS

Regulatory Compliance Fundamentals

Author
M.L. Humphrey
Publisher
M.L. Humphrey
Narrator
M.L. Humphrey

Studio Narrated Audiobook

This audiobook is a traditionally narrated work produced in a studio with a live voice actor and contains no content generated using Voice Replica technologies or synthetic narration.

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 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.

Chapters

# 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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