Financial Services Authority regulation and risk-based compliance

Author(s)

• Bazley, Stuart
• Haynes, Andrew

Bibliographic Information

Financial Services Authority regulation and risk-based compliance

by Stuart Bazley and Andrew Haynes

Tottel Pub., 2007

2nd ed

• : [pbk.]

Note

Includes index

Description and Table of Contents

Description

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.

by "Nielsen BookData"

Details

• NCID: BB18725106
• ISBN:
  • 9781845922498
• Country Code: uk
• Title Language Code: eng
• Text Language Code: eng
• Place of Publication: Haywards Heath
• Pages/Volumes: xxiv, 496 p.
• Size: 24 cm
• Classification:
  • LCC : KD1715
• Subject Headings:
  • LCSH : Financial Services Authority (Great Britain) -- Rules and practice
  • LCSH : Financial services industry -- Law and legislation -- Great Britain