Governance, Compliance and Supervision in the Capital Markets: + Website

The definitive guide to capital markets regulatory compliance

Banks and financial services firms currently are under heavy regulatory scrutiny and must implement comprehensive controls to comply with new rules that are changing the way they conduct business. This book provides a way forward, with clear, actionable guidance that strengthens governance at all levels. Throughout, the authors take care to balance supervisory and compliance requirements against the need to do business.

From regulatory schemes to individual roles and responsibilities, Governance, Compliance, and Supervision in the Capital Markets:

Presents a coherent framework for firms seeking a practical approach to meeting the latest requirements Provides an overview of governance, compliance, and supervision Highlights the most pressing issues in today′s financial services organizations Delivers detailed guidance on application with examples of real–world implementation Includes a companion website with checklists and other valuable tools, as well as sample exercises that reinforce understanding and help facilitate implementation

Demystifying today′s complex regulatory environment and providing a practical, accessible, readily adaptable roadmap for compliance, Governance, Compliance, and Supervision in the Capital Markets is a must–have "tool of the trade" for all financial institutions and finance professionals.

SARAH SWAMMY is a Senior Vice President and Chief Operating Officer for the Portfolio Solutions businesses both in State Street Global Market, LLC, a registered broker–dealer subsidiary of State Street Bank and Trust, and in State Street Bank and Trust. She is also a member of the Global Markets Business Risk Committee. Sarah joined State Street from BNY Mellon where she held several leadership positions including Business Manager and Head of Supervision for BNY Mellon Capital Markets, LLC, Chief Administrative Officer for BNY Mellon Global Markets, and principal overseeing the sales and trading businesses. Sarah has held compliance positions at Deutsche Bank Securities, Inc., CSFB, and Barclays Capital, Inc.

MICHAEL MCMASTER is a Managing Director and Chief Compliance Officer for BNY Mellon Capital Markets, LLC, a broker–dealer affiliate of BNY Mellon, Chief Compliance Officer for BNY Mellon′s Broker Dealer Services Division and Head of BNY Mellon′s Shared Services Compliance Group.