"Risk-based Compliance" is an informative handbook designed to bring you practical information on the generic role of compliance. It focuses on the due diligence mechanisms needed to ensure effective compliance throughout the financial services industry. Written in an accessible and well-informed style, "Risk-Based Compliance" will enable financial services professionals and their advisors to gain a good understanding of the new obligations that have been imposed on them. The topics addressed include: role of compliance; ...
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"Risk-based Compliance" is an informative handbook designed to bring you practical information on the generic role of compliance. It focuses on the due diligence mechanisms needed to ensure effective compliance throughout the financial services industry. Written in an accessible and well-informed style, "Risk-Based Compliance" will enable financial services professionals and their advisors to gain a good understanding of the new obligations that have been imposed on them. The topics addressed include: role of compliance; risk analysis and surveying; fashioning compliance systems; complaints; relevant issues in employment law; relevant provisions in the Financial Services and Markets Act 2000; special compliance obligations; enforcing compliance obligations; ensuring co-ordination nationally and internationally; dealing with the regulators and law enforcement; and extending and authorisation. In addition, the book covers surveying and risk analysis, fashioning of compliance systems and handling investor complaints.
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Acceptable. Used-Acceptable. Sticker on cover. Ships from UK in 48 hours or less (usually same day). Your purchase helps support Sri Lankan Children's Charity 'The Rainbow Centre'. Ex-library with wear and barcode page may have been removed. 100% money back guarantee. We are a world class secondhand bookstore based in Hertfordshire, United Kingdom and specialize in high quality textbooks across an enormous variety of subjects. We aim to provide a vast range of textbooks, rare and collectible books at a great price. Our donations to The Rainbow Centre have helped provide an education and a safe haven to hundreds of children who live in appalling conditions. We provide a 100% money back guarantee and are dedicated to providing our customers with the highest standards of service in the bookselling industry.
