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Item Details
| Title:
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FINANCIAL SERVICES AUTHORITY REGULATION AND RISK-BASED COMPLIANCE
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| By: |
Stuart Bazley, Andrew Haynes |
| Format: |
Paperback |
| List price:
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£105.00 |
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We currently do not stock this item, please contact the publisher directly for
further information.
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| ISBN 10: |
1845922492 |
| ISBN 13: |
9781845922498 |
| Publisher: |
BLOOMSBURY PUBLISHING PLC |
| Pub. date: |
1 December, 2006 |
| Edition: |
2nd Revised edition |
| Pages: |
520 |
| Description: |
A guide to the role of risk-based FSA regulation compliance in the financial services industry. It aims to help financial service organisations to comply with their legal responsibilities. It covers topics such as operating a risk-based approach to regulation, FSA supervision of regulated firms, financial services, markets tribunals, and more. |
| Synopsis: |
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. |
| Publication: |
UK |
| Imprint: |
Tottel Publishing |
| Returns: |
Non-returnable |
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