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

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

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