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This new edition provides a practical guide to the due diligence mechanisms that ensure accurate and effective FSA regulations compliance. Focusing on the latest due diligence mechanisms that can be developed and implemented, the second edition of this invaluable guide will help all organisations operating in this heavily regulated industry to accurately comply with their legal responsibilities.
Comprehensively updated and re-written in response to several key developments in financial services law and regulation, the new edition provides coverage of the EU’s Financial Services Action Plan, and the evolution of the FSA Tribunal decisions. The authors go on to provide detailed coverage on operating a risk-based approach to regulation, and the role of senior management and their relationship with the FSA. Further discussion is given to the FSA supervision of regulated firms, and the role of the financial services and markets tribunals.
Written by leading experts, the new edition clearly outlines the latest compliance concepts, and the skills needed to implement effective compliance systems. Dr Andrew Haynes BA (Hons) Law, PhD, Cert Ed, FRSA, FSALS has written widely in the field of financial services, and is currently Head of the Institute of Finance Law at the University of Wolverhampton. Stuart Bazley LL.B (hons), LL.M (Lond) is managing director of regulatory consulting at the Momenta Group. Stuart has worked in financial services for over 20 years.