Financial Services Authority Regulation and Risk-Based Compliance, 2nd edition
Written by Stuart Bazley, Momenta Compliance Services and Dr Andrew Haynes, University of Wolverhampton

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.

Bibliographic detail
ISBN/ISSN: 978 1 84592 249 8
Publication Date: Dec 06
Format: Paperback
Availability: In Print

Other financial services titles:

Financial Services: Investigations and Enforcement 2/ed

Financial Services Law Guide 3/ed

Banking and Financial Services Regulation 3/ed