Essentials of the Dodd-Frank Act - Softcover

Anand, Sanjay

Softcover

ISBN 10: 0470952334 ISBN 13: 9780470952337

Publisher: Wiley, 2011

Synopsis

An executive overview of the new Financial Regulations Act

This book provides an executive summary of the newly passed Financial Regulations Act. It examines the most important sections of the Act, how it impacts the financial industry, as well as what executives must know and do in order to comply with the Act.

• One of the first books to provide an executive summary from a compliance perspective
• Presents responsibilities of senior level executives regarding this new Act
• Reveals what has changed within the regulatory environment
• Provides tips and techniques throughout

Describing the government regulation of securities, securities markets, and securities transactions in the United States, this timely book succinctly defines, describes, and explains domestic securities regulation for compliance officers, accountants, and broker-dealers.

About this title

From the Back Cover:

"It is incumbent on all business owners and managers, and indeed all consumers, to understand the Dodd-Frank Act . . . . Who better to provide insights on Dodd-Frank than Sanjay Anand, who was among the first responders of consummate business leaders to explain the Sarbanes-Oxley Act. You have chosen wisely and I know you will greatly benefit from reading this book." —From the Foreword by Michael P. Cangemi, CPA, former president of FEI

"This book is about as authoritative as a book can get on a moving target like the Dodd-Frank Act while still being written in plain English, so that all those impacted by the legislation can understand what has been enacted, and what is yet to come. It provides the necessary foundational steps in preparing for the regulations regardless of how it may be modified. It also connects the dots to related regulations—SOX and Basel III. Kudos to Sanjay Anand for writing it and making his knowledge and expertise available to all."—Anthony Tarantino, author of Essentials of Risk Management in Finance

Get up to speed quickly on the new Financial Regulations Act

Need a quick primer to the Dodd-Frank Act? Essentials of the Dodd-Frank Act guides you to both prepare for the regulations that will inevitably follow and to create a road map for implementing specific titles and sections of the Act within your organization, so you can always be one step ahead of the game.

Take a look inside for just-the-facts coverage of:

• What has changed within the regulatory environment

• The events leading up to the Dodd-Frank Act, the key players involved, and a review of the legislation's timeline

• Effective dates and rule promulgation deadlines you'll need to have handy

• Legislation and rulemaking that could impact your organization such as the Truth in Lending Act, the Fair Credit Reporting Act, and the Investment Advisers Act

• The global impact and implications of the Act for the banking and investment industries

Offering a timely compliance perspective of the new Dodd-Frank Wall Street Reform and Consumer Protection Act, Essentials of the Dodd-Frank Act examines the most important sections of the Act, how it impacts the financial industry, and what you must know and do in order to comply with the Act.

About the Author:

SANJAY ANAND, CSOX, CGRC, is a recognized expert in governance, risk management, compliance and controls, and has served as chairperson of the SOX and GRC Institutes, and as Steering Committee member of the Open Compliance and Ethics Group's Red Book. He has been accorded over a dozen honorary industry credentials and certifications including a CDE (Certificate in Director Education) from NACD Institute and a CFE (Certified Fraud Examiner) from ACFE. For more information, visit his site at www.sanjayanand.com.

About this edition

• Publisher: Wiley
• Publication date: 2011
• ISBN 10: 0470952334
• ISBN 13: 9780470952337
• Binding: Paperback
• Edition number: 1
• Number of pages: 208