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Wolverhampton Intellectual Repository and E-Theses > School of Law, Social Sciences and Communications > School of Legal Studies > Legal Studies Research Group  > Financial Services Authority Regulation and Risk-based Compliance (2nd rev. ed.)

Please use this identifier to cite or link to this item: http://hdl.handle.net/2436/26012
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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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