About This Show
Welcome to the Compliance4 podcast with your host Elizabeth Hamilton-Guarino. Compliance4 is dedicated to helping you connect with the greatest minds in the regulatory, legal and compliance fields. Use the hashtag #Compliance4 to connect with us in social media. Visit us online at Compliance4.com and join your peers and our experts in our growing community.Read more »
Most Recent Episode
David Lui - Compliance Controls for Advisers & Takeaways For Other Industries
David Lui is the Co-Editor of Modern Compliance, an 835-page treatise focusing on best practices for compliance with American securities and financial services requirements. The book is published and distributed by Wolters Kluwer Financial Services and contains chapters written by 35 of the leading attorneys and compliance professionals in this area of practice. Lui edited the book with John H. Walsh, former Chief Counsel of the Securities and Exchange Commission’s Office of Compliance, Inspections and Examinations and Jason Mitchell, Chief Compliance Officer of a Investment Adviser in Minneapolis.
David is a nationally recognized speaker on compliance issues. David earned a B.A. in History from Brown University and a Juris Doctor from the University of California, Hastings College of the Law.
Modern Compliance: Best Practices for Securities and Finances
The book helps compliance professionals understand the internal control structure and ethical considerations necessary to navigate one of the most challenging roles in American business today—that of a chief compliance officer at a financial services firm With this book, we’re giving compliance professionals the resources they need for the greatest chance of success.Read more »