Financial Services Authority Regulation and Risk-Based Compliance

By: Andrew Haynes and Stuart Bazley
ISBN: 9781845922498

Print

£95.00
Buy Now

Law Online Subscription

FREE TRIAL
Sign Up

About Financial Services Authority Regulation and Risk-Based Compliance

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... Read more

About Financial Services Authority Regulation and Risk-Based Compliance

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.

Publishing Details

Publication Date: 01/12/2006
ISBN: 9781845922498
Binding: Paperback
Edition: 2

Law Online

Online research for solicitors and barristers practising in English law Free Trial

Need Help?

If you need any help with finding publications or just ask a question. Talk to an Advisor: 01444 416119

or send us a message