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Books from the Catalog
Financial Regulation by Financial Regulation: Law and Policy (2d Edition) introduces the field of financial regulation in a new and accessible way. Even though a decade has passed since the most systemic financial crisis in the last 70 years and eight years have elapsed since a major shift in regulatory design, the world is still grappling with the aftermath. In addition, technology innovations, including Bitcoin and other cryptocurrencies, market forces and a changing political environment all have combined to reframe and reorient public debate over financial regulation. The book has kept up to date with all of these changes. The book analyzes and compares the market and regulatory architecture of the entire U.S. financial sector as it exists today, from banks, insurance companies, and broker-dealers, to asset managers, complex financial conglomerates, and government-sponsored enterprises. The book explores a range of financial activities, from consumer finance and investment to payment systems, securitization, short-term wholesale funding, money markets, and derivatives. The book examines a range of regulatory techniques, including supervision, enforcement, and rule-writing, as well as crisis-fighting tools such as resolution and the lender of last resort. Throughout the book, the authors note the cross-border implications of U.S. rules, and compare, where appropriate, the U.S. financial regulatory framework and policy choices to those in other places around the globe, especially the European Union.
Call Number: KF974.B388 2018
Publication Date: 2018-08-09
Financial Regulation and Compliance by Devise an organized, proactive approach to financial compliance Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities. Written by David Kotz, former Inspector General of the SEC with additional guidance provided by leading experts, this book is a one-stop resource for navigating the numerous regulations that have been enacted in response to the financial crisis. You′ll learn how best to defend your organization from SEC, CFTC, FINRA, and NFA Enforcement actions, how to prepare for SEC, FINRA, and NFA regulatory examinations, how to manage the increasing volume of whistleblower complaints, how to efficiently and effectively investigate these complaints, and more. Detailed discussion of the regulatory process explains how aggressive you should be in confronting federal agencies and self-regulatory organizations and describes how commenting on issues that affect your business area can be productive or not. The companion website includes a glossary of terms, regulations and government guidance, relevant case law, research databases, and FAQs about various topics, giving you a complete solution for keeping abreast of evolving compliance issues. These days, compliance professionals are faced with a myriad of often overlapping regulatory challenges. Increased aggressiveness on the part of regulators has led to increased demand on financial firms, but this book provides clear insight into navigating the changes and building a more robust compliance function. Strengthen internal compliance and governance programs Manage whistleblower programs and conduct effective investigations Understand how to minimize exposure and liability from Enforcement actions Learn how to prepare for the different types of regulatory examinations Minimize exposure from FCPA violations Understand the pros and cons of commenting on regulations The volume and pace of regulatory change is causing new and diverse pressures on compliance professionals. Navigate the choppy waters successfully with the insider guidance in Financial Regulation and Compliance.
Call Number: KF974.K68 2015
Publication Date: 2015-08-03
Anti-Money Laundering in a Nutshell by Anti-Money Laundering in a Nutshellis a concise, accessible, and practical guide to compliance with anti-money laundering law for financial professionals, corporate investigators, business managers, and all personnel of financial institutions who are required, under penalty of hefty fines, to get anti-money laundering training. Money laundering is endemic. As much as 5 percent of global GDP ($3.6 trillion) is laundered by criminals each year. It''s no wonder that every financial institution in the United States--including banks, credit card companies, insurers, securities brokerages, private funds, and money service businesses--must comply with complex examination, training, and reporting requirements mandated by a welter of federal anti-money laundering (AML) laws. Ignorance of crime is no excuse before the law. Financial institutions and businesses that unknowingly serve as conduits for money laundering are no less liable to prosecution and fines than those that condone or abet it. In Anti-Money Laundering in a Nutshell: Awareness and Compliance for Financial Personnel and Business Managers, Kevin Sullivan draws on a distinguished career as an AML agent and consultant to teach personnel in financial institutions what money laundering is, who does it, how they do it, how to prevent it, how to detect it, and how to report it in compliance with federal law. He traces the dynamic interplay among employees, regulatory examiners, compliance officers, fraud and forensic accountants and technologists, criminal investigators, and prosecutors in following up on reports, catching launderers, and protecting the integrity and reputations of financial institutions and businesses. In particular, corporate investigators will gain rich insights winnowed from the author''s experiences as a New York State and federal investigator. What you''ll learn US federal and international AML laws The AML measures and program that financial institutions must have in place to control money laundering, such as KYC, CIP, and AML/CFT risk assessment The practical steps that personnel at every level from the teller window to the C-suite must know to ensure institutional compliance with AML regulations, such as filling out SARs and CTRs Who this book is for Under federal acts such as the Bank Secrecy Act of 1970, the Money Laundering Suppression Act of 1994, and the Intelligence Reform and Terrorism Prevention Act of 2004, every financial institution in the United States must have an anti-money laundering program in place that includes annual training of all relevant employees. This short book is an educational text or supplemental reader for such training by anti-money laundering compliance officers, examiners, agents, and consultants. Table of Contents Chapter 1. What is Money Laundering? Chapter 2. Methods of Money Laundering Chapter 3. Federal Regulations Chapter 4. Building a Quality AML Program for Financial Institutions Chapter 5. Know Your Customer and Customer Identification Program Chapter 6. A SAR Is Born Chapter 7. Money Laundering for Law Enforcement Chapter 8. International Standards Chapter 9. FRAML Glossary Appendix A: Red Flags Appendix B: Code of Federal Regulations Title 31 Section 103.18
Call Number: KF1030 .R3 S85 2015
Publication Date: 2015-06-30
Research Handbook on Securities Regulation in the United States by This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statutes, and the regulators and market participants involved. In addition to a general summary of the topic, this volume provides detailed explanations of the process for registering securities, exemptions from registration, secondary distributions, and the underwriting process. Scholars and students of financial law, banking and regulatory law will find this book a useful resource, as will attorneys, compliance professionals, risk-mitigation professionals and corporate leaders.
Call Number: KF1439.R47 2014
Publication Date: 2014-07-25
The Center for Computer-Assisted Legal Instruction is also known as CALI. The organization is best known in law schools for CALI Lessons which are online interactive tutorials on legal subjects. To register you'll need the CALI authorization code, contact Katie Crandall.
You may sign-up, using your FSU email address, for Quimbee here. Quimbee provides many lessons, tutorials and a large bank of practice questions. As a Florida State University Law student it is provided to you for free.
What is OneSearch?
OneSearch is a discovery tool that searches across the majority of our books, journals, articles, and more. It can also be used to search for material outside of our collections! It’s a great starting point for your research, and can be used to drill down to very specific resources.
Online Tools for Research
Financial Services Regulation in Practice by This book explains how to deal with legal, compliance, and enforcement issues faced by banks and other financial institutions and their legal advisers. It focuses on the practical application of the generally applicable regulations and rules under the Financial Services and Markets Act 2000 governing the financial services sector as it changed and developed during and after the financial crisis. The book considers the key changes made by the Financial Services Act 2012 and the Financial Services (Banking Reform) Act 2013 as well as policy developments brought about by the change in regime from the Financial Services Authority to the Prudential Regulation Authority and Financial Conduct Authority. Guidance is given on the application and enforcement of the rules taking all relevant sources into account including speeches and announcements by regulatory authorities, policy documents and pronouncements, practice developments, court cases, tribunal decisions, and enforcement proceedings. Providing real insight into the practical, legal, and policy issues affecting all dealing with the post-crisis regulatory environment, this book is essential for all advising on legal matters, compliance and enforcement in the financial sector.
Call Number: E-Book
Publication Date: 2016-05-24
Financial Product Fundamental by Financial Product Fundamentals is a clear, comprehensive, and easy-to-use reference that gives you a thorough understanding of the regulations, benefits, advantages, pricing, distribution, marketing, and current and future viability of registered offerings. It includes expert analysis of private placements, mutual funds, hedge funds, money market funds, exchange traded funds, real estate investment trusts, international investment funds, variable insurance products, and other instruments. Now in a new second edition, Financial Product Fundamentals has been completely revised to reflect the Dodd-Frank Act, SEC actions, and other regulatory changes made to spur the economy and reform the financial markets. New material includes a discussion of the foreign broker-dealer; and Rule 483 advertising, or advertising that can be done prior to delivery of a statutory or summary prospectus and includes information that may be different from or in addition to that contained in the prospectus, so long as it does not conflict. With the help of charts, tables, and other graphics, Financial Product Fundamentals helps you stay on top of securities laws applicable to all of the different financial instruments.
Call Number: E-Book
Publication Date: 2013-01-16
Federal Regulatory Directory by The Federal Regulatory Directory, Sixteenth Editioncontinues to offer a clear path through the maze of complex federal agencies and regulations, providing to-the-point analysis of regulations. Information-packed profiles of more than 100 federal agencies and departments detail the history, structure, purpose, actions, and key contacts for every regulatory agency in the U.S. government. Now updated with an improved searching structure, the Federal Regulatory Directory continues to be the leading reference for understanding federal regulations, providing a richer, more targeted exploration than is possible by cobbling together electronic and print sources."
Call Number: E-Book
Publication Date: 2013-01-01
Business Law Research Guides