Financial Services Authority Regulation and Risk-Based Compliance - Softcover

Haynes, Andrew; Bazley, Stuart

 
9781845922498: Financial Services Authority Regulation and Risk-Based Compliance
Softcover
ISBN 10: 1845922492 ISBN 13: 9781845922498
Publisher: Bloomsbury Professional, 2006

Synopsis

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.

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About the Authors

Professor Andrew Haynes is a leading authority on the law relating to banking and financial services regulation. After a career at Deloitte and two leading law firms he entered academia. He has written widely on these subject areas and advised governments and banking regulators in a number of countries.

Stuart Bazley has worked in the financial services industry for over 25 years and is currently a consultant. He has also lectured and written extensively on financial services regulation and enforcement

"About this title" may belong to another edition of this title.

Publisher
Bloomsbury Professional
Publication date
2006
Language
English
ISBN 10 
1845922492
ISBN 13 
9781845922498
Binding
Paperback
Edition number
2
Number of pages
520