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Vol 21 No 9 Sept/Oct 2016

Book of the Month

Cover of Goode on Commercial Law

Goode on Commercial Law

Edited by: Ewan McKendrick
Price: £170.00

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Secondhand & Out of Print

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This book is now Out of Print.
A new edition has been published, the details can be seen here:
Financial Services Authority Regulation and Risk Based Compliance 2nd ed isbn 9781845922498

Risk-Based Compliance

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ISBN13: 9780406932501
ISBN: 0406932506
New Edition ISBN: 9781845922498
Published: March 2001
Publisher: Bloomsbury Professional
Country of Publication: UK
Format: Paperback
Price: Out of print

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. 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
  • Extending and authorisation
In addition the book covers surveying and risk analysis, fashioning of compliance systems and handling investor complaints. It also examines the issues of ensuring international co-ordination and dealing with regulators, making it an ideal reference guide for those working withi

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Banking and Finance
""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.""