Financial Services Authority Regulation and Risk-Based Compliance

by Andrew Haynes

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.

• Format: Paperback
• Language: English
• ISBN: 1845922492
• ISBN13: 9781845922498
• Release Date: December 2006
• Publisher: Tottel Publishing
• Length: 520 Pages
• Weight: 1.95 lbs.
• Dimensions: 1.3" x 6.2" x 9.1"