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Compliance Handbook: Your Questions Answered [193668]

  £32.00
This book aims to provide a practical interpretation of the regulations that have resulted from the Financial Services Act. The book is designed to be in an accessible format, has a series of questions and answers and useful addresses, and covers all aspects of compliance - not merely the customer relations side. This handbook is intended as a practical complement to IFAs compliance manual, and as such will be useful to financial advisors and could be used as a training aid for new members of staff pointing out their obligations under the Act.Contents: Part 1 External dealings: activities of field people and consultants; advertising and other business promotions; know your client; best advice; best execution; contractual arrangements; clients' money; dealing with professionals and introducers; cancellation rights; offshore investment. Part 2 Internal administration: the role of compliance; for the new business; financial matters; relations with product providers; if something goes wrong; disciplinary procedures; systems implications. Appendices: schedule 1 FSA; directory of addresses.
Author:  Hindle, J.
Date Published:  01 January 1990
Document Type:  Books
Format:  Paperback
ISBN:  0851215564
ISBN13:  9780851215563
Pages:  208
Publisher:  Sweet & Maxwell Ltd
Quantity: