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Vol 21 No 10 Oct/Nov 2016

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The Compliance Handbook

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Joanne HindleChief Executive, IFA Promotions

ISBN13: 9780851215563
ISBN: 0851215564
Published: January 1990
Publisher: Sweet & Maxwell Ltd
Format: Paperback
Price: Out of print



This book aims to provide a practical interpretation of the regulations that have resulted from the Financial Services Act. The book is designed to be in an accessible format, has a series of questions and answers and useful addresses, and covers all aspects of compliance - not merely the customer relations side.;This handbook is intended as a practical complement to IFAs compliance manual, and as such will be useful to financial advisors and could be used as a training aid for new members of staff pointing out their obligations under the Act.

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Contents:
Part 1 External dealings: activities of field people and consultants; advertising and other business promotions; know your client; best advice; best execution; contractual arrangements; clients' money; dealing with professionals and introducers; cancellation rights; offshore investment.
Part 2 Internal administration: the role of compliance; for the new business; financial matters; relations with product providers; if something goes wrong; disciplinary procedures; systems implications. Appendices: schedule 1 FSA; directory of addresses.