Financial Services Authority Regulation and Risk-based Compliance (2nd rev. ed.)
Bazley, Stuart Haynes, Andrew
Bazley, Stuart
Haynes, Andrew
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2006
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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)
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Authored book
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en
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9781845922498