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Financial Advisor's Guide to Regulatory Investigations: What every Financial Advisor Needs to Know About Regulatory Examinations and Enforcement Actions.

Financial Advisor's Guide to Regulatory Investigations: What every Financial Advisor Needs to Know About Regulatory Examinations and Enforcement Actions.

          
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About the Book

Financial advisors facing a regulatory investigation or enforcement action need to understand that their career might be on the line. Staying ignorant about the process and their options is not the best strategy. With this book, attorney Joel Beck arms financial advisors with: - a solid grasp on the basic investigative processes used by regulators, - identification of some pitfalls that might arise in investigations, - knowledge of how a regulatory action might otherwise impact the advisor's career and career options, and - an understanding of common sanctions that might be imposed in an enforcement action. In this detailed and informative book, Joel shares his knowledge gained through a more than 20 year career in financial markets regulation to aid financial advisors facing a regulatory investigation or enforcement action.
About the Author: Joel Beck is an attorney with The Beck Law Firm, LLC in Lawrenceville, Georgia (metro Atlanta) who has been involved in financial services regulatory matters for over 20 years. He spent ten years working for NASD (now known as FINRA) in various capacities, and gained an intimate knowledge of the organization's exam and enforcement processes. In private practice, Joel spends most of his time counseling and advising financial advisors in general compliance matters and defending them in regulatory exams and enforcement cases. Joel also practices in the area of business law and estate planning.


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Product Details
  • ISBN-13: 9781719212410
  • Publisher: Createspace Independent Publishing Platform
  • Publisher Imprint: Createspace Independent Publishing Platform
  • Height: 229 mm
  • No of Pages: 86
  • Spine Width: 5 mm
  • Weight: 127 gr
  • ISBN-10: 1719212414
  • Publisher Date: 31 May 2018
  • Binding: Paperback
  • Language: English
  • Returnable: N
  • Sub Title: What every Financial Advisor Needs to Know About Regulatory Examinations and Enforcement Actions.
  • Width: 152 mm


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