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Broker-Dealer Compliance

By: James A. Fanto (Author)

Extended Catalogue

Ksh 15,700.00

Format: Paperback or Softback

ISBN-13: 9781800889583

Publisher: Edward Elgar Publishing Ltd

Publication Date: Apr 28th, 2023

Category: Company law

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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.

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