Compliance officer's handbook

著者

• Virgo, John M. (John Michael)
• Ryley, Philip

書誌事項

Compliance officer's handbook

by John Virgo, Philip Ryley

, c2004

内容説明・目次

内容説明

Increasing regulatory developments and sanctions are making the role of those with compliance responsibility ever more challenging. Financial services firms regularly fall under the FSA's spotlight, for many aspects of the conduct of their business. This handbook provides concise yet thorough guidance for compliance officers, managers, and indeed all those in authorised firms (or firms considering becoming authorised). Including coverage of the FSA regime for general insurance mediation and mortgage business (ICOB and MCOB), Virgo and Ryley's straightforward and user-friendly treatment of financial services compliance makes this book the compliance officer's indispensable companion.

目次

• "Market Regulation
• The New Landscape
• Applying for Authorisation
• Risk Based Compliance
• Enforcement Action
• Compliance Models
• Training and Competence
• Money Laundering
• Complaints Handling, the Financial Ombudsman Service and the Financial Services Compensation Scheme
• Lessons from Past Failures
• Conduct of Business
• Financial Promotions
• Abbreviations."

「Nielsen BookData」 より

詳細情報

• NII書誌ID(NCID): BA71841551
• ISBN:
  • 0754525708
• 出版国コード: uk
• タイトル言語コード: eng
• 本文言語コード: eng
• 出版地: Croydon ; LexisNexis UK
• ページ数/冊数: xv, 206 p.
• 大きさ: 23 cm
• 分類:
  • NDC9 : 338.32