Previously entitled Risk-Based Compliance, this unique guide to the role of risk-based Financial Services Authority (FSA) regulation compliance in the UK financial services industry has been fully updated and comprehensively rewritten. Focusing on the latest due diligence mechanisms, this specialist guide ensures financial services organizations can accurately and confidently comply with their legal responsibilities. The advice and information includes: operating a risk-based approach to regulation, FSA supervision of ...
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Previously entitled Risk-Based Compliance, this unique guide to the role of risk-based Financial Services Authority (FSA) regulation compliance in the UK financial services industry has been fully updated and comprehensively rewritten. Focusing on the latest due diligence mechanisms, this specialist guide ensures financial services organizations can accurately and confidently comply with their legal responsibilities. The advice and information includes: operating a risk-based approach to regulation, FSA supervision of regulated firms, financial services and markets tribunals, the EU's Financial Services Action Plan, and the FSA Tribunal decisions.
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