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

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.