Broker-Dealer Compliance

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Broker-Dealer Compliance

A Case-based Guide to Compliance Program Elements and Practices

9781800889583 Edward Elgar Publishing
James A. Fanto, Gerald Baylin Professor of Law and Co-Director, Center for the Study of Business Law and Regulation, Brooklyn Law School, US
Publication Date: April 2023 ISBN: 978 1 80088 958 3 Extent: c 224 pp
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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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.

James Fanto discusses the main, well-established elements and practices in a broker-dealer compliance program and illustrates them with case studies and practical examples drawn from real-life situations to demonstrate the goals of a particular program element and problems in its implementation. Moreover, each chapter highlights the pressures on compliance officers and the trends that collectively may transform compliance practice in a particular area.

Professionals in broker-dealer and investment firm compliance practice will find this book a readable introduction to the field. Experienced practitioners can refresh their knowledge and even learn something new about brokerage compliance program elements and practices.
Critical Acclaim
‘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
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