Broker-Dealer Compliance

A Case-based Guide to Compliance Program Elements and Practices

Elgar Compliance Guides

詹姆斯·a . Fanto杰拉尔德Baylin法律和教授Co-Director, Center for the Study of Business Law and Regulation, Brooklyn Law School, US

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.

‘Jim Fanto gives readers a readable, sophisticated and practical guide for all those trying to find their way through the maze of contemporary compliance, including best practices and traps for the unwary.’
Donald Langevoort, Georgetown University Law Center, US

‘James Fanto has written a comprehensive and exceedingly accessible book on the topic of broker-dealer compliance. Professor Fanto is extraordinarily well-situated to address this topic, having served as a reporter on the American Law Institute’s Principles of Compliance project. The book clearly articulates the applicable rules and regulations, illustrating the key points with helpful case studies. It will be an indispensable reference work for those involved or interested in the field.’
– Claire Hill, University of Minnesota Law School, US