Regulatory Compliance Fundamentals
Regulatory Compliance Essentials, Book 1
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Regulatory Compliance Fundamentals
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Narrated by:
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M.L. Humphrey
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By:
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M.L. Humphrey
About this listen
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. HumphreyListeners also enjoyed...
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Story4.5 out of 5 stars 88
In their acclaimed best seller The Challenger Sale, Matthew Dixon and his colleagues at CEB busted many longstanding myths about sales. Now they've turned their research and analysis to a new vital business subject - customer loyalty - with a new book that turns the conventional wisdom on its head. The idea that companies must delight customers by exceeding service expectations is so entrenched that managers rarely even question it. They devote untold time, energy, and resources to trying to dazzle people and inspire their undying loyalty.
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5 out of 5 stars
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If you are a CXer, you have to read/listen to it
- By Shirley Campbell on 05-26-23
By: Matthew Dixon, and others
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Mergers & Acquisitions from A to Z, Fourth Edition
- By: Andrew J. Sherman
- Narrated by: Eric Martin
- Length: 14 hrs and 18 mins
- Unabridged
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Overall4 out of 5 stars 52
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Performance4.5 out of 5 stars 40
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Story4 out of 5 stars 39
More than 10,000 mergers and acquisitions occur annually in the US, many among small and mid-sized companies. These complex transactions can be an effective growth strategy, but they carry significant risk. Mergers and Acquisitions from A to Z helps guard against costly mistakes. Expert advice, case studies, checklists, and sample documents walk you through every step of the process - from valuation to securities laws to closing and successful integration.
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5 out of 5 stars
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Great information with details
- By Luis on 07-18-18
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The Art of War
- By: Sun Tzu
- Narrated by: Aidan Gillen
- Length: 1 hr and 7 mins
- Unabridged
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Overall4.5 out of 5 stars 41,410
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Performance4.5 out of 5 stars 34,292
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Story4.5 out of 5 stars 33,873
The 13 chapters of The Art of War, each devoted to one aspect of warfare, were compiled by the high-ranking Chinese military general, strategist, and philosopher Sun-Tzu. In spite of its battlefield specificity, The Art of War has found new life in the modern age, with leaders in fields as wide and far-reaching as world politics, human psychology, and corporate strategy finding valuable insight in its timeworn words.
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5 out of 5 stars
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The actual book The Art of War, not a commentary
- By Fred271 on 12-31-19
By: Sun Tzu
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Never Finished
- Unshackle Your Mind and Win the War Within
- By: David Goggins
- Narrated by: David Goggins, Adam Skolnick, Jacqueline Gardner
- Length: 11 hrs and 6 mins
- Unabridged
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Overall5 out of 5 stars 29,918
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Performance5 out of 5 stars 26,746
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Story5 out of 5 stars 26,655
Can’t Hurt Me, David Goggins’ smash hit memoir, demonstrated how much untapped ability we all have but was merely an introduction to the power of the mind. In Never Finished, Goggins takes you inside his Mental Lab, where he developed the philosophy, psychology, and strategies that enabled him to learn that what he thought was his limit was only his beginning and that the quest for greatness is unending.
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5 out of 5 stars
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He did it again!
- By Christian C. on 12-06-22
By: David Goggins
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The 6 Habits of Growth
- By: Brendon Burchard
- Narrated by: Brendon Burchard
- Length: 5 hrs and 4 mins
- Original Recording
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Overall4.5 out of 5 stars 6,184
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Performance5 out of 5 stars 5,473
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Story4.5 out of 5 stars 5,430
The world’s leading high-performance coach and multiple New York Times best-selling author Brendon Burchard delivers the six habits of personal growth that will help you create the life of your dreams. Forged from Brendon Burchard’s personal experiences, data from his GrowthDay app, and his many years as a high-performance coach, The 6 Habits of Growth presents the tools you need to construct the life of your dreams.
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2 out of 5 stars
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Don’t bother
- By B. Sharpe on 10-30-22
By: Brendon Burchard
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12 Months to $1 Million
- How to Pick a Winning Product, Build a Real Business, and Become a Seven-Figure Entrepreneur
- By: Ryan Daniel Moran
- Narrated by: Ryan Daniel Moran
- Length: 7 hrs and 38 mins
- Unabridged
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Overall5 out of 5 stars 3,780
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Performance5 out of 5 stars 3,263
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Story5 out of 5 stars 3,247
By cutting out the noise and providing a clear and proven plan, this road map helps even brand-new entrepreneurs make decisions quickly, get their product up for sale, and launch it to a crowd that is ready and waiting to buy. This one-year plan will guide you through the three stages to your first $1 million: the Grind (months 0-4), the Growth (months 5-8), and the Gold (months 9-12). If your goal is to be a full-time entrepreneur, get ready for one chaotic, stressful, and rewarding year. If you have the guts to complete it, you will be the proud owner of a million-dollar business.
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4 out of 5 stars
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Good, but a Little Misleading
- By Chris Love on 11-28-20
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Going Infinite
- The Rise and Fall of a New Tycoon
- By: Michael Lewis
- Narrated by: Michael Lewis
- Length: 9 hrs and 35 mins
- Unabridged
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Overall4.5 out of 5 stars 2,055
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Performance4.5 out of 5 stars 1,846
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Story4.5 out of 5 stars 1,844
When Michael Lewis first met him, Sam Bankman-Fried was the world’s youngest billionaire and crypto’s Gatsby. CEOs, celebrities, and leaders of small countries all vied for his time and cash after he catapulted, practically overnight, onto the Forbes billionaire list. Who was this rumpled guy in cargo shorts and limp white socks, whose eyes twitched across Zoom meetings as he played video games on the side?
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1 out of 5 stars
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really expected more rigor from Michael Lewis
- By Wowhello on 10-04-23
By: Michael Lewis
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Traction
- Get a Grip on Your Business
- By: Gino Wickman
- Narrated by: Kevin Pierce
- Length: 6 hrs and 56 mins
- Unabridged
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Overall4.5 out of 5 stars 7,391
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Performance4.5 out of 5 stars 6,121
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Story4.5 out of 5 stars 6,041
Do you have a grip on your business, or does your business have a grip on you? All entrepreneurs and business leaders face similar frustrations: personnel conflict, profit woes, and inadequate growth. Decisions never seem to get made, or once made, fail to be properly implemented. But there is a solution. It’s not complicated or theoretical.
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3 out of 5 stars
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this is for 50+ employee companies, not small ones
- By Ryan Taft on 03-06-18
By: Gino Wickman
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The Daily Stoic
- 366 Meditations on Wisdom, Perseverance, and the Art of Living
- By: Ryan Holiday, Stephen Hanselman
- Narrated by: Brian Holsopple
- Length: 10 hrs and 6 mins
- Unabridged
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Overall5 out of 5 stars 3,228
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Performance4.5 out of 5 stars 2,709
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Story5 out of 5 stars 2,674
Why have history's greatest minds - from George Washington to Frederick the Great to Ralph Waldo Emerson along with today's top performers, from Super Bowl-winning football coaches to CEOs and celebrities - embraced the wisdom of the ancient Stoics? Because they realize that the most valuable wisdom is timeless and that philosophy is for living a better life, not a classroom exercise. The Daily Stoic offers a daily devotional of Stoic insights and exercises, featuring all-new translations.
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2 out of 5 stars
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Not well made as audio
- By Andreas on 12-27-16
By: Ryan Holiday, and others
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Worthy
- How to Believe You Are Enough and Transform Your Life
- By: Jamie Kern Lima
- Narrated by: Jamie Kern Lima
- Length: 11 hrs and 26 mins
- Unabridged
-
Overall4.5 out of 5 stars 785
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Performance4.5 out of 5 stars 733
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Story4.5 out of 5 stars 733
Author Jamie Kern Lima's first, instant New York Times bestselling book Believe It, captured her journey of going from Denny's waitress to billion-dollar entrepreneur by learning to believe in herself. And now her second, much-anticipated, upcoming book Worthy, is the playbook for how YOU can believe in YOU! If you've ever struggled with self-doubt, felt like you don't have what it takes...or that who you truly are isn't enough, even if you're really good at hiding it from the world, WORTHY is for you.
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5 out of 5 stars
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💫 We're so WORTHY! 🦋 Listen - Read - Share 🔆
- By Diana Yin on 02-22-24
By: Jamie Kern Lima
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Take Control of Your Life
- How to Silence Fear and Win the Mental Game
- By: Mel Robbins
- Narrated by: Mel Robbins
- Length: 10 hrs and 3 mins
- Unabridged
-
Overall5 out of 5 stars 18,941
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Performance5 out of 5 stars 16,312
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Story5 out of 5 stars 16,172
Mel Robbins is back! The international bestselling phenomenon and creator of The Five Second Rule and Kick Ass with Mel Robbins returns to help you tackle the single biggest obstacle you face: fear. This life-changing Audible Original features a powerful mix of one-on-one life-coaching sessions and a personal narrative with vital take-aways that you can start using immediately.
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5 out of 5 stars
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Stop living in fear
- By Nike7 on 02-08-19
By: Mel Robbins
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The Creature from Jekyll Island
- A Second Look at the Federal Reserve
- By: G. Edward Griffin
- Narrated by: Mark Bramhall
- Length: 24 hrs and 21 mins
- Unabridged
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Overall4.5 out of 5 stars 5,885
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Performance5 out of 5 stars 5,186
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Story4.5 out of 5 stars 5,183
This classic expose of the Fed has become one of the best-selling books in its category of all time. Where does money come from? Where does it go? Who makes it? The money magician's secrets are unveiled. Here is a close look at their mirrors and smoke machines, the pulleys, cogs, and wheels that create the grand illusion called money. A boring subject? Just wait. You'll be hooked in five minutes. It reads like a detective story - which it really is, but it's all true.
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1 out of 5 stars
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Lost confidence in author
- By Amazon Customer on 07-11-20
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The High 5 Habit
- Take Control of Your Life with One Simple Habit
- By: Mel Robbins
- Narrated by: Mel Robbins
- Length: 6 hrs and 57 mins
- Unabridged
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Overall5 out of 5 stars 9,104
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Performance5 out of 5 stars 7,921
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Story5 out of 5 stars 7,867
Don't let the title fool you. This isn't a book about high fiving everyone else in your life. You're already doing that. Cheering for your favorite teams. Celebrating your friends. Supporting the people you love as they go after what they want in life. Imagine if you gave that same love and encouragement to yourself. Or even better, you made it a daily habit. You'd be unstoppable. In this book, Mel teaches you how to start high fiving the most important person in your life, the one who is staring back at you in the mirror: YOURSELF.
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3 out of 5 stars
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Narrator issues.
- By Jesse on 10-05-21
By: Mel Robbins
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Caffeine
- How Caffeine Created the Modern World
- By: Michael Pollan
- Narrated by: Michael Pollan
- Length: 2 hrs and 2 mins
- Original Recording
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Overall4.5 out of 5 stars 42,508
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Performance4.5 out of 5 stars 36,622
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Story4.5 out of 5 stars 36,454
Michael Pollan, known for his best-selling nonfiction audio, including The Omnivores Dilemma and How to Change Your Mind, conceived and wrote Caffeine: How Caffeine Created the Modern World as an Audible Original. In this controversial and exciting listen, Pollan explores caffeine’s power as the most-used drug in the world - and the only one we give to children (in soda pop) as a treat.
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2 out of 5 stars
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Leaves much to be desired
- By Melody H on 02-02-20
By: Michael Pollan
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The Ideal Team Player
- How to Recognize and Cultivate the Three Essential Virtues: A Leadership Fable
- By: Patrick M. Lencioni
- Narrated by: Stephen Hoye
- Length: 5 hrs and 3 mins
- Unabridged
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Overall4.5 out of 5 stars 6,522
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Performance4.5 out of 5 stars 5,585
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Story4.5 out of 5 stars 5,561
In The Ideal Team Player, Lencioni tells the story of Jeff Shanley, a leader desperate to save his uncle's company by restoring its cultural commitment to teamwork. Jeff must crack the code on the virtues that real team players possess and then build a culture of hiring and development around those virtues. Beyond the fable, Lencioni presents a practical framework and actionable tools for identifying, hiring, and developing ideal team players.
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3 out of 5 stars
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Lot of talk about a simple concept
- By Andrea on 09-05-16
What listeners say about Regulatory Compliance Fundamentals
Average customer ratingsReviews - Please select the tabs below to change the source of reviews.
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Overall5 out of 5 stars
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Performance5 out of 5 stars
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Story1 out of 5 stars
- J. -d'souza
- 12-04-23
Brief but helpful
I found this to be a very helpful introduction with some important thoughts and recommendations.
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