Description
Bloomsbury Publishing PLC Financial Services Authority Regulation and Risk-Based Compliance by Stuart Bazley Andrew Haynes
Previously entitled Risk-Based Compliance this unique guide to the role of risk-based FSA regulation compliance in the financial services industry has been fully updated and comprehensively re-written. Focusing on the latest due diligence mechanisms the guidance and information provided ensures financial services organisations can accurately and confidently comply with their legal responsibilities. This advice and information includes: operating a risk-based approach to regulation FSA supervision of regulated firms financial services and markets tribunals the EUs Financial Services Action Plan and the FSA Tribunal decisions.