Financial Services Authority Regulation & Risk-Based Compliance (2ed)

Financial Services Authority Regulation
Financial Services Authority Regulation & Risk-Based Compliance (2ed)
Bazley, S
9781845922498
30/12/2006
2
£74.00
Pb
Bloomsbury Professional

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.

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