Regulatory Compliance Fundamentals

Regulatory Compliance Essentials, Book 1

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 20 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 straight-forward, 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.

©2020 M.L. Humphrey (P)2022 M.L. Humphrey

Brief but helpful

I found this to be a very helpful introduction with some important thoughts and recommendations.