Essential strategies for financial services compliance /

• Main Authors: Mills, Annie (Author), Haines, Peter, 1959- (Author)
• Format: eBook
• Language: English
• Published: Chichester, West Sussex, UK : Wiley, 2015.
• Edition: Second edition.
• Subjects: Financial services industry > Law and legislation > Great Britain.; Corporate governance > Law and legislation > Great Britain.; Ethics and compliance officers > Great Britain > Handbooks, manuals, etc.; BUSINESS & ECONOMICS > Auditing.; Corporate governance > Law and legislation.; Ethics and compliance officers.; Financial services industry > Law and legislation.; Great Britain.; Electronic books.; Handbooks and manuals.

"A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the dema...

Table of Contents:

• The UK regulatory enviroment
• The compliance function
• The compliance contract
• Mapping your compliance universe
• Mapping your corporate universe
• Regulators and other industry bodies
• The legislative environment and rules mapping
• Financial products, services, and documentation
• Compliance outside the compliance department
• Key compliance department activities
• Comply or die : when things go wrong.