Financial Services Authority Regulation and Risk-based Compliance by Stuart Bazley
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Financial Services Authority Regulation and Risk-based Compliance
By Stuart Bazley

Financial Services Authority Regulation and Risk-based Compliance

2nd Revised edition

By (author) See other recent books by Stuart Bazley See other recent books by Andrew Haynes
Format: Paperback

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Financial Services Authority Regulation and Risk-based Compliance by Stuart Bazley

Book 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.

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Book Details

ISBN: 9781845922498
ISBN-10: 1845922492
Format: Paperback
(234mm x 156mm x 33mm)
Pages: 520
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 by 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 by Stuart Bazley Risk-based Compliance, Paperback (June 2001)

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.

» View all books by Stuart Bazley

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