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Modern Compliance: Best Practices for Securities & Finance, Volume 1

Edited by David H. Lui, John H. Walsh,
Associate editor Jason K. Mitchell


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Modern financial services compliance practice bears scant resemblance to the compliance practiced thirty or forty years ago. Increased regulatory change, market abuse, and scandal have driven firms to understand the business necessity of solid compliance programs. Chief Compliance Officers are now given the proverbial “seat at the table” with increased resources, staff, and the accompanying scrutiny of their Boards of Directors, clients, regulators, and the investing public.

Modern Compliance: Best Practices for Securities & Finance, Volume 1 is the work of some of the industry’s foremost thought leaders, who bring decades of experience in developing and enhancing the practice of compliance. Volume 1 delves not only into the black letter law requirements of the compliance professional’s job, but also into the attitudes, soft-skills, and finesse required to do it effectively. It serves as a solid introduction to the skills necessary for those new to the field as well as a refresher for seasoned compliance professionals.

Volume 1 provides a foundational understanding of financial services compliance. Beneficial to regulators, practitioners, as well as consumers, it prepares the reader to realize opportunities and address challenges in this ever-changing field.


Pages 832
Publish Date 10/01/2015
Publish Frequency Annually
Product Line Wolters Kluwer Legal & Regulatory U.S.
ISBN 9780808043010
SKU 10038739-0001
Table of Contents
  • CHAPTER 1: Introduction - By Lori A. Richards
  • CHAPTER 2: A History of Compliance- By John H. Walsh
  • CHAPTER 3: What Is Compliance? - By R. Gerald Baker
  • CHAPTER 4: Fiduciary Duty - By Karen Barr and David Tittsworth
  • CHAPTER 5: Core Requirements of a Compliance Program - By David H. Lui
  • CHAPTER 6: Overview of the Regulatory Framework for SEC-Registered Investment Advisers - By Eric R. Vercauteren
  • CHAPTER 7: Game Plan for the New CCO - By Robert Stirling
  • CHAPTER 8: How Compliance Can Teach Ethics - By Lee Augsburger
  • CHAPTER 9: Ethics Standards Governing Compliance Professionals - By Richard Marshall
  • CHAPTER 10: Soft Skills: Presenting Compliance - By Michelle Hawkins
  • CHAPTER 11: Compliance Training -By Kurt Wachholz
  • CHAPTER 12: Compliance and Risk Management - By Andrew J. (Buddy) Donohue and Andrew J. (Drew) Donohue, Jr.
  • CHAPTER 13: Navigating Marketing and Distribution - By Michael Caccese and Douglas Charton
  • CHAPTER 14: Corporate Transactions: The Role of the Compliance Department - By A. Brad Busscher
  • CHAPTER 15: Affiliated Transactions Under the Advisers Act - By Joseph McDermott
  • CHAPTER 16: Adviser Custody: What You Need to Know - By Elizabeth M. Knoblock
  • CHAPTER 17: Protecting the Privacy of Client Information - By David E. Rosedahl, Keith Loveland, and Andrew C. Small
  • CHAPTER 18: Cybersecurity - By Krista Zipfel
  • CHAPTER 19: Forensic Testing - By Jeffrey Hiller
  • CHAPTER 20: Regulatory Examinations and Audits - By Michelle Jacko
  • CHAPTER 21: Your Relationship with FINRA - By David Sobel
  • CHAPTER 22: Compliance Professionals’ Relationships with Endangered Populations - By Theodore J. Sawicki and Melissa J. Gworek
  • CHAPTER 23: Seeking to Avoid Chief Compliance Officer Liability - By J. Christopher Jackson
  • CHAPTER 24: Avoiding Supervisory Liability - By Ted Urban
  • CHAPTER 25: Enforcement Actions Against Chief Compliance Officers - By Brian L. Rubin and Irene A. Firippis
  • CHAPTER 26: Preparing to Become a Compliance Officer, and the Academy - By James A. Fanto
  • CHAPTER 27: Is It Time to Go? - By Kathleen Edmond
  • CHAPTER 28: Compliance as a Profession - By John H. Walsh