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Financial Services Authority Regulation and Risk-based Compliance [192731]

  £74.00
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.
Author:  Bazley, Stuart; Haynes, Andrew
Date Published:  27 December 2006
Document Type:  Books|Books
Format:  Paperback
ISBN:  1845922492
ISBN13:  9781845922498
Publisher:  Tottel Publishing
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