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Vol 21 No 12 Dec 16/Jan 17

Book of the Month

Cover of The UK Supreme Court Yearbook Volume 7: 2016

The UK Supreme Court Yearbook Volume 7: 2016

Edited by: Daniel Clarry, Christopher Sargeant
Price: £90.00

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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.