Financial Services Authority Regulation and Risk-based Compliance
2nd Revised edition
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Financial Services Authority Regulation and Risk-based Compliance by Stuart Bazley
Book DescriptionPreviously 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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Book DetailsISBN: 9781845922498
(234mm x 156mm x 33mm)
Imprint: Tottel Publishing
Publisher: Bloomsbury Publishing PLC
Publish Date: 27-Dec-2006
Country of Publication: United Kingdom
Books By Author Stuart Bazley
Market Abuse Enforcement, Hardback (February 2013)
This new title is concerned with the interplay between the Financial Services Authority's ('FSA') statutory powers to impose administrative law sanctions on persons that have engaged in abuse in the financial markets and the statutory system of Tribunal accountability provided by the Financial Services and Markets Act 2000 ('the Act').
Risk-based Compliance, Paperback (June 2001)» View all books by Stuart Bazley
Designed to bring you practical information on the generic role of compliance, this book focuses on the due diligence mechanisms needed to ensure effective compliance throughout the financial services industry. It enables financial services professionals and their advisors to gain an understanding of the obligations that have been imposed on them.
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