Financial Regulation and Compliance: How to Manage Competing and Overlapping Regulatory Oversight, + Website

Acknowledgments

I want to thank my colleagues at Berkeley Research Group for their helpful comments and edits to the first draft of the book. I wish to mention particularly the contributions of Alexandra Martin and Matthew Caselli. Alex assisted greatly in compiling the information from the interviews that I conducted with the leading experts, and in providing comments and suggestions with respect to all aspects of the book. Matt, as he has done for me on many previous occasions, expertly edited the manuscript and gave me invaluable guidance and direction.

In addition, much, if not most, of the valuable information in the book comes not from me, but from the contributions of the many experts who took the time from their very busy schedules to speak to me and furnish me their insights about the many diverse topics described in the book. These individuals – Amy Lynch, Matt Dwyer, Debbie Monson, Brad Bondi, Richard Roth, Ken McCracken, Jay Knight, and Tom Fox – could not have been more informative or more of a pleasure to work with. It was truly a joy and an honor for me to be able to speak to them about their areas of regulatory expertise, and to be able to incorporate their extremely valuable guidance in this book.

Finally, I am very grateful for the team at John Wiley & Sons, and specifically Thomas Hyrkiel, Tessa Allen and Jeremy Chia. This was a very personal project for me as I was tremendously honored to be able to publish a book for the same publishers for whom my late ...