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

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    Authors
    Bazley, Stuart
    Haynes, Andrew
    Issue Date
    2006
    
    Metadata
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    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
    URI
    http://hdl.handle.net/2436/26012
    Additional Links
    http://www.tottelpublishing.com/ProductDetails/mcs/productID/321
    Type
    Authored book
    Language
    en
    ISBN
    9781845922498
    Collections
    Faculty of Social Sciences

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