SOURCE: Berkeley Research Group, LLC

Berkeley Research Group

August 11, 2015 08:00 ET

Financial Regulation and Compliance: New Book by Former SEC Inspector General on Navigating an Increasingly Complex Regulatory Environment

EMERYVILLE, CA--(Marketwired - August 11, 2015) - H. David Kotz's new book, Financial Regulation and Compliance: How to Manage Competing and Overlapping Regulatory Oversight, provides compliance professionals with a one-stop resource for navigating the numerous regulations enacted in response to the financial crisis.

In the book, Kotz details topics including how to: best defend your organization from SEC, CFTC, FINRA and NFA enforcement actions; prepare for SEC, FINRA and NFA regulatory examinations; manage the increasing volume of whistleblower complaints; and efficiently and effectively investigate these complaints. He also discusses the regulatory process and explains how aggressive professionals should be in confronting federal agencies and self-regulatory organizations. Kotz also describes whether commenting on issues that affect certain business areas can be productive.

The book, part of the Wiley Finance Series, is essential reading for compliance professionals navigating regulatory changes and will help build a more robust compliance function.

About the Author:

H. David Kotz serves as a managing director at Berkeley Research Group, where he focuses on internal investigations and consults with and provides expert testimony on the regulation of and securities trading by broker-dealers, investment advisers, hedge funds, insurance companies and banks. He also serves as a compliance monitor for firms that have entered into deferred prosecution agreements and similar arrangements with government agencies. Previously, Kotz served as the inspector general of the SEC.

About Berkeley Research Group, LLC

Berkeley Research Group, LLC (www.thinkbrg.com) is a leading global strategic advisory and expert consulting firm that provides independent advice, data analytics, authoritative studies, expert testimony, investigations, and regulatory and dispute consulting to Fortune 500 corporations, financial institutions, government agencies, major law firms and regulatory bodies around the world. BRG experts and consultants combine intellectual rigor with practical, real-world experience and an in-depth understanding of industries and markets. Their expertise spans economics and finance, data analytics and statistics, and public policy in many of the major sectors of our economy, including healthcare, banking, information technology, energy, construction and real estate. BRG is headquartered in Emeryville, California, with offices across the United States and in Australia, Canada, Hong Kong, Latin America and the United Kingdom.

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