Financial Services Authority regulation and risk-based compliance

著者

• Bazley, Stuart
• Haynes, Andrew

書誌事項

Financial Services Authority regulation and risk-based compliance

by Stuart Bazley and Andrew Haynes

Tottel Pub., 2007

2nd ed

• : [pbk.]

注記

Includes index

内容説明・目次

内容説明

Previously entitled "Risk-Based Compliance" this unique guide to the role of risk-based FSA regulation compliance in the financial services industry has been fully updated and comprehensively re-written. Focusing on the latest due diligence mechanisms, the guidance and information provided ensures financial services organisations can accurately and confidently comply with their legal responsibilities. This advice and information includes: operating a risk-based approach to regulation, FSA supervision of regulated firms, financial services and markets tribunals, the EU's Financial Services Action Plan, and the FSA Tribunal decisions.

「Nielsen BookData」 より

詳細情報

• NII書誌ID(NCID): BB18725106
• ISBN:
  • 9781845922498
• 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: Haywards Heath
• ページ数/冊数: xxiv, 496 p.
• 大きさ: 24 cm
• 分類:
  • LCC : KD1715
• 件名:
  • LCSH : Financial Services Authority (Great Britain) -- Rules and practice
  • LCSH : Financial services industry -- Law and legislation -- Great Britain