Institutional Self-Regulation (Compliance)

by Tamar Frankel

The duty of financial institutions to self-regulate their compliance with the law was triggered by relatively recent developments. Financial institutions (banks, mutual funds, securities exchanges and advisers) have grown larger and were operating internationally. Government and outside regulators could not effectively supervise and prevent institutional violations. The failures and violations of such institutions were costly to the country, to...

• Format: Paperback
• Language: English
• ISBN: 1600422993
• ISBN13: 9781600422997
• Release Date: July 2018
• Publisher: Vandeplas Pub.
• Length: 504 Pages
• Weight: 2.02 lbs.
• Dimensions: 1.0" x 7.0" x 10.0"