Financial Services Authority Regulation and Risk-Based Compliance
Author | : Andrew Haynes |
Publisher | : Bloomsbury Professional |
Total Pages | : 0 |
Release | : 2006-12-01 |
ISBN-10 | : 1845922492 |
ISBN-13 | : 9781845922498 |
Rating | : 4/5 (92 Downloads) |
Book excerpt: 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.