First Release of 2020

This is a book I’ve been meaning to write for a couple of years now. I figure it puts a nice pretty bow on the first twenty years of my professional life which revolved around financial services regulation first on the regulatory side and then on the consulting side.

It may be one of those books that doesn’t find its audience, but I hope over time it will come to the attention of the sort of folks who see a title like Regulatory Compliance Fundamentals and think, “Oh that looks interesting.” Because it is if that’s your thing.

It’s short, 102-pages, but packed with knowledge. ($9.95 USD ebook/$19.95 USD print)

Regulatory Compliance Fundamentalsv2.jpg

Author: M.L. Humphrey

M.L. Humphrey is a former securities regulator, registered stockbroker (although only briefly), and consultant on regulatory and risk-related matters for large financial institutions with expertise in the areas of anti-money laundering regulation, mutual funds, and credit rating agencies. Since 2013 M.L. has also been a published author under a variety of pen names and across a variety of subjects and genres.

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