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Financial Services Authority Regulation and Risk-based Compliance (2nd rev. ed.)
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| Title: | Financial Services Authority Regulation and Risk-based Compliance (2nd rev. ed.) |
| Authors: | Bazley, Stuart
Haynes, Andrew |
| Publisher: | Tottel Publishing |
| Issue Date: | 2006 |
| URI: | http://hdl.handle.net/2436/26012 |
| Additional Links: | http://www.tottelpublishing.com/ProductDetails/mcs/productID/321 |
| Abstract: | 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. (Tottel Publishing) |
| Type: | Book |
| Language: | en |
| Keywords: | Financial Services Authority
Risk-based compliance
Financial regulation
UK |
| ISBN: | 9781845922498 |
| Appears in Collections: | Legal Studies Research Group
Legal Studies Research Group
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