Financial Services Authority Regulation and Risk-based Compliance (2nd rev. ed.)

2.50
Hdl Handle:
http://hdl.handle.net/2436/26012
Title:
Financial Services Authority Regulation and Risk-based Compliance (2nd rev. ed.)
Authors:
Bazley, Stuart; Haynes, Andrew
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)
Publisher:
Tottel Publishing
Issue Date:
2006
URI:
http://hdl.handle.net/2436/26012
Additional Links:
http://www.tottelpublishing.com/ProductDetails/mcs/productID/321
Type:
Book
Language:
en
ISBN:
9781845922498
Appears in Collections:
Legal Studies Research Group ; Legal Studies Research Group

Full metadata record

DC FieldValue Language
dc.contributor.authorBazley, Stuart-
dc.contributor.authorHaynes, Andrew-
dc.date.accessioned2008-05-14T15:17:09Z-
dc.date.available2008-05-14T15:17:09Z-
dc.date.issued2006-
dc.identifier.isbn9781845922498-
dc.identifier.urihttp://hdl.handle.net/2436/26012-
dc.description.abstractPreviously 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)en
dc.language.isoenen
dc.publisherTottel Publishingen
dc.relation.urlhttp://www.tottelpublishing.com/ProductDetails/mcs/productID/321en
dc.subjectFinancial Services Authorityen
dc.subjectRisk-based complianceen
dc.subjectFinancial regulationen
dc.subjectUKen
dc.titleFinancial Services Authority Regulation and Risk-based Compliance (2nd rev. ed.)en
dc.typeBooken
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