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Wildy’s Book News

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Vol 22 No 10 Oct/Nov 2017

Book of the Month

Cover of Lindley & Banks on Partnership

Lindley & Banks on Partnership

Price: £380.00

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Operating in a Regulated Environment


ISBN13: 9780852976845
ISBN: 0852976844
Published: April 2002
Publisher: Financial World Publishing
Format: workbook / worksheets
Price: £40.00



Any investment adviser seeking to advise a client must understand the impact of regulations on the provision of services for investment customers.;Taking the Financial Services Act 1986 as its starting point, this workbook examines in detail how financial regulation affects investment decisions and protects customers. It also explains the responsibilities and operation of the compliance department within member firms and the monitoring methodology required. Significant coverage is devoted to associated legislation on everything from consumer credit to the City code on take-overs and acquisitions.