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Vol 21 No 11 Nov/Dec 2016

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Compliance Officer's Handbook

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ISBN13: 9780754525707
ISBN: 0754525708
Published: November 2004
Publisher: LexisNexis Butterworths
Country of Publication: UK
Format: Paperback
Price: Out of print



Increasing regulatory developments and sanctions are making the role of those with compliance responsibility increasingly challenging. Declining public trust in corporations (due to accounting scandals), together with concern about risk and financial crime post-September 11th, has put compliance at the top of the corporate agenda.

This new handbook for compliance practitioners, board members, managers and financial advisors provides straightforward and user-friendly guidance on best practice in the financial services industry. Comprehensive but concise coverage of compliance matters makes this book the compliance practitioner's bible.

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Subjects:
Company Law, Banking and Finance
Contents:
Market Regulation; The New Landscape; Applying for Authorisation; Risk Based Compliance; Enforcement Action; Compliance Models; Training and Competence; Money Laundering; Complaints Handling, the Financial Ombudsman Service and the Financial Services Compensation Scheme; Lessons from Past Failures; Conduct of Business; Financial Promotions; Abbreviations