Financial Services Authority Regulation and Risk-based Compliance

by Andrew Haynes (Author), Andrew Haynes (Author), Stuart Bazley (Author)

• Used

  Paperback
  2006

  $8.18

  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.