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