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Essential Strategies for Financial Services Compliance Hardcover – 15 Aug 2008


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Product details

  • Hardcover: 374 pages
  • Publisher: John Wiley & Sons; 1 edition (15 Aug. 2008)
  • Language: English
  • ISBN-10: 0470519045
  • ISBN-13: 978-0470519042
  • Product Dimensions: 17.6 x 2.8 x 24.5 cm
  • Average Customer Review: 4.9 out of 5 stars  See all reviews (10 customer reviews)
  • Amazon Bestsellers Rank: 59,533 in Books (See Top 100 in Books)
  • See Complete Table of Contents

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Product Description

Review

offers practical guidance and how to deal with unusual problems. Securities & Investment Review May 2008

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9 of 9 people found the following review helpful By Mr. A. Davidson on 27 Aug. 2008
Format: Hardcover
Compliance officers, risk managers and City traders are rushing to get their hands on this book, but I want to put in a word for the person who doesn't work in the City, but who is interested in how it really works, and in how its scandals work, and, particularly, in investing. Read this book. Get hold of it - like I did. You'll be glad that you did. You will read it, I guarantee, again and again, every time with greater illumination.

This book is a real eye-opener to what really goes on in City firms, the problems faced, and how they are addressed. It gets to the root of all the major scandals by looking at the City through the eye of an experience compliance officer - seeing much, not always able to do much about it, but providing answers, suggestions, ideas. The insights are amazing and - the answers not simple. Welcome to the City. This is how it really is. I feel like screaming it.

In short, to understand the City and how it works, and to understand how to invest successfully, you need to understand mechanisms within City firms, how they are used and how they are abused. This book shows you this from an inside point of view, through a vigorous, fresh and honest voice. There is no hype, no sensationalism no lies, but a style and truthfulness that will knock the socks off you.

I love this book because it takes you inside the heart of the city. It is written by a young compliance officer who is not some escapee writing an expose with an axe to grind, but who is there, in the heart of it, committed to trying to make it work. What she tells you is the truth. You will learn more about the City from this than from almost anything.

The book is entertaining. The voice is fresh. The credentials are impressive.
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2 of 2 people found the following review helpful By Crude Dude on 13 Oct. 2008
Format: Hardcover
FINALLY! In the vast maze of finance books - most of which are concentrated either on arcane details of legislation, minutiae of investment theory or some narcissistic person telling us all how he is great and how we can make ourselves into millionaires over a period of a few years - just by doubling our money on the stock market. This book is a user friendly, down to earth no-nonsense guide on how to learn the breast stroke if you ever get thrown in the deep end of the compliance pool and you find that you picked a toaster oven as your floatation device. Humorous in tone as it may be, this book will give you serious examples on how to look at risks and handle sticky situations. The on-line material (of which you gain access though the book) will give you a rundown on the some of the financial products that you will encounter and some of the specific risks and compliance issues that apply to those products. If you are starting up in compliance or wish to gain an overview of why your compliance officer sees red when you see only black, read this book!
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2 of 2 people found the following review helpful By TBL on 21 Oct. 2008
Format: Hardcover
I would recommend anyone who works in Compliance, or who needs to understand financial regulation to read this book. It gives practical guidance on how to tackle a wide number of compliance issues, in a way that no other book on the market does. It's easy to read but also very informative, and I have certainly learned a lot from it.
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Format: Hardcover Verified Purchase
When I purchased the book I wanted to expand on my overall knowledge on compliance, especially in the investments' section. The honesty of the author about the compliance industry in terms of investments is astonishing. Consequently, (and even though I have not yet read through all the book) I am sure that this book is a must read for those wanting to making it big in compliance or those wanting to familiarize themselves with the banking and investments industry. The brief on regulatory framework is recommended. This book is a must have in your library. Thanks to the author for taking the time to write it.
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Format: Hardcover
I found this book really useful and I wish I had come across something like this earlier in my career. There is a good balance between setting out the regulatory framework and good, practical guidance on the sort of projects and tasks that Compliance Officers actually do. There are too many books out there that just describe the rules, but this one suggests ways of applying the rules in day to day business and I have not found any other book that does that.
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