"Risk-based Compliance" is an informative handbook designed to bring you practical information on the generic role of compliance. It focuses on the due diligence mechanisms needed to ensure effective compliance throughout the financial services industry. Written in an accessible and well-informed style, "Risk-Based Compliance" will enable financial services professionals and their advisors to gain a good understanding of the new obligations that have been imposed on them. The topics addressed include: role of compliance; risk analysis and surveying; fashioning compliance systems; complaints; relevant issues in employment law; relevant provisions in the Financial Services and Markets Act 2000; special compliance obligations; enforcing compliance obligations; ensuring co-ordination nationally and internationally; dealing with the regulators and law enforcement; and extending and authorisation. In addition, the book covers surveying and risk analysis, fashioning of compliance systems and handling investor complaints.
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ISBN-13
978-0-406-93250-1 (9780406932501)
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Schweitzer Klassifikation
"1. Role of compliance - relationship to due diligence. 2. Need for compliance - requirements and risks. 3. Risk analysis and surveying. 4. Fashioning compliance systems. 5. In-house and contractual obligations. 6. External compliance obligations. 7. Relevant issues in Employment law. 8. Relevant issues in FSMA. 9. Special compliance obligations i.e. money laundering, insider dealing, employment. 10. Enforcing compliance obligations. 11. Compliance in multi-level and multi-business enterprises. 12. Ensuring co-ordination nationally and internationally. 13. Dealing with the regulators and enforcement."
