04519nam 2200661 450 991081862910332120231214154210.01-118-90618-71-119-20807-61-118-90619-5(CKB)4330000000002711(SSID)ssj0001555137(PQKBManifestationID)16198238(PQKBTitleCode)TC0001555137(PQKBWorkID)14817738(PQKB)22160280(DLC) 2015016139(Au-PeEL)EBL4436059(CaPaEBR)ebr11169661(CaONFJC)MIL839959(OCoLC)898155834(CaSebORM)9781118906132(MiAaPQ)EBC4436059(PPN)271975342(EXLCZ)99433000000000271120160330h20152015 uy 0engurcnu||||||||txtccrEssential strategies for financial services compliance /Annie Mills, Peter HainesSecond edition.Chichester, England :Wiley,2015.©20151 online resource (527 pages) illustrations (some color), tablesIncludes index.print version 9781118906132 Includes bibliographical references and index.The UK regulatory enviroment -- The compliance function -- The compliance contract -- Mapping your compliance universe -- Mapping your corporate universe -- Regulators and other industry bodies -- The legislative environment and rules mapping -- Financial products, services, and documentation -- Compliance outside the compliance department -- Key compliance department activities -- Comply or die : when things go wrong."A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation"--Provided by publisher.Financial services industryLaw and legislationGreat BritainCorporate governanceLaw and legislationGreat BritainEthics and compliance officersGreat BritainHandbooks, manuals, etcFinancial services industryLaw and legislationCorporate governanceLaw and legislationEthics and compliance officers346.41/082BUS003000bisacshMills Annie1649415Haines Peter1959-MiAaPQMiAaPQMiAaPQBOOK9910818629103321Essential strategies for financial services compliance3998138UNINA