A note on book covers: while we do our best to ensure the accuracy of cover images, ISBNs may at times be reused for different editions of the same title which may hence appear as a different cover.
We live in a regulated world. And for someone whose role is in regulatory compliance or regulatory enforcement, knowledge is often gained on an ad hoc basis through trial and error, via on-the-job training, or through conversations with others in a similar role. In Regulatory Compliance Fundamentals, M.L. Humphrey has taken twenty years of experience as a regulator and a consultant in the financial services industry and boiled it down to the basic fundamental principles every individual in regulatory compliance should know and presented that information in a straightforward, easy-to-understand manner. If your role is in regulatory compliance, no matter how long you've been at this, this book is for you.
A note on book covers: while we do our best to ensure the accuracy of cover images, ISBNs may at times be reused for different editions of the same title which may hence appear as a different cover.
Essential beginner's guide to regulatory compliance basics.
Who is this book for?
If you're working in regulatory compliance or planning to start, this book offers a no-nonsense overview of the core principles you need to succeed. M.L. Humphrey's clear and practical insights make complex concepts accessible, so it's like having a seasoned mentor by your side. It’s a great value if you want to build a strong foundation and navigate the regulatory landscape with confidence.
