Financial Services Authority Regulation and Risk-Based Compliance

Financial Services Authority Regulation and Risk-Based Compliance cover

Financial Services Authority Regulation and Risk-Based Compliance

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.

Product details

Published 01 Dec 2006
Format Paperback
Edition 2nd
Extent 520
ISBN 9781845922498
Imprint Bloomsbury Professional
Dimensions 234 x 156 mm
Publisher Bloomsbury Publishing

About the contributors

Author

Andrew Haynes

Professor Andrew Haynes is a leading authority on…

Author

Stuart Bazley

Stuart Bazley has worked in the financial services…

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