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Financial Services Authority Regulation and Risk-Based Compliance
Financial Services Authority Regulation and Risk-Based Compliance
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Description
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.
Product details
| Published | Dec 01 2006 |
|---|---|
| Format | Paperback |
| Edition | 2nd |
| Extent | 520 |
| ISBN | 9781845922498 |
| Imprint | Bloomsbury Professional |
| Dimensions | 9 x 6 inches |
| Publisher | Bloomsbury Publishing |
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