LEADER 00940nam0-22002771i-450- 001 990003044960403321 005 20091215155922.0 035 $a000304496 035 $aFED01000304496 035 $a(Aleph)000304496FED01 035 $a000304496 100 $a20030910d--------km-y0itay50------ba 101 0 $aita 102 $aIT 200 1 $aDelle colonie e dell'emigrazione d'Italia all'estero$esotto l'aspetto dell'industria commercio, agricoltura e contrattazione d'importanti questioni sociali$fLeone Carpi 210 $aMilano$cTip. Editrice Lombarda$d1874 215 $a4v. in 2 (36 ; 400 p.)$d23 cm 700 1$aCarpi,$bLeone$f<1810-1898>$0120869 801 0$aIT$bUNINA$gRICA$2UNIMARC 901 $aBK 912 $a990003044960403321 952 $aE/4.3 CAR/1-2$b6344 a/RI$fSES 952 $aE/4.3 CAR/3-4$b6344 b/RI$fSES 959 $aSES 996 $aDelle colonie e dell'emigrazione d'Italia all'estero$9462548 997 $aUNINA LEADER 04034nam 2200625 a 450 001 9910792418903321 005 20230721015803.0 010 $a0-470-69938-8 010 $a1-282-54865-4 010 $a9786612548659 010 $a0-470-69991-4 035 $a(CKB)2670000000014788 035 $a(EBL)514464 035 $a(OCoLC)609863015 035 $a(SSID)ssj0000359539 035 $a(PQKBManifestationID)11278961 035 $a(PQKBTitleCode)TC0000359539 035 $a(PQKBWorkID)10318070 035 $a(PQKB)10835633 035 $a(MiAaPQ)EBC514464 035 $a(Au-PeEL)EBL514464 035 $a(CaPaEBR)ebr10377805 035 $a(CaONFJC)MIL254865 035 $a(EXLCZ)992670000000014788 100 $a20080508d2008 uy 0 101 0 $aeng 135 $aurcn||||||||| 181 $ctxt 182 $cc 183 $acr 200 10$aEssential strategies for financial services compliance$b[electronic resource] /$fAnnie Mills 210 $aChichester, England ;$aHoboken, NJ $cJ. Wiley$dc2008 215 $a1 online resource (378 p.) 300 $aDescription based upon print version of record. 311 $a0-470-51904-5 320 $aIncludes bibliographical references and index. 327 $aEssential Strategies for Financial Services Compliance; Contents; Acknowledgements; List of Abbreviations; Preface (Or, How Not to be an Execution Officer); Foreword; PART I COMMENTARY AND CONTEXT; 1 The UK Regulatory Environment; 2 The Compliance Function; 3 The Compliance Contract; 4 Mapping Your Compliance Universe; 5 Mapping Your Corporate Universe; 6 Regulators and Other Industry Bodies; 7 The Legislative Environment and Rules Mapping; 8 Financial Products, Services and Documentation; 9 Compliance Outside the Compliance Department; 10 Key Compliance Department Activities 327 $a11 Comply or Die - When Things go Wrong APPENDICES; A Routine Compliance Activities; B Routine Anti-Money Laundering Activities; C Compliance in the Front Office; D Compliance for Senior Management, the Back Office and Other Support Departments; E Compliance Conundrums - What Would You Do?; PART II COMPLIANCE PERSPECTIVES; Box 1: Acting on Principle; Box 2: ARROW; Box 3: Basel II and CRD; Box 4: Extradition; Box 5: Financial Services Action Plan; Box 6: Going Global?; Box 7: Industry Guidance; Box 8: L&G v. the FSA - Who are the real winners and losers? 327 $aBox 9: Markets in Financial Instruments Directive Box 10: Money Laundering Statistics; Box 11: Prudential Regulation of Capital Adequacy; Box 12: The Enforcement Process - Getting on the wrong side of the FSA; Box 13: The Lamfalussy Process; Box 14: The Laundering Process; Box 15: Treating Customers Fairly; Index 330 $aCompliance officers perform a vital, yet unpopular role in the business world as they advise on complying with myriad rules and regulations. What is good for compliance is sometimes seen as being bad for business, making a compliance officer's role a difficult one. Essential Strategies for Financial Services Compliance offers practical guidance on how to apply a regulatory requirement to day to day situations. It also shows how to communicate the compliance department?s activities to the rest of the firm, how the role fits within the organization as a whole, what the scope and limitatio 606 $aFinancial services industry$xLaw and legislation$zGreat Britain 606 $aCorporate governance$xLaw and legislation$zGreat Britain 606 $aEthics and compliance officers$zGreat Britain$vHandbooks, manuals, etc 615 0$aFinancial services industry$xLaw and legislation 615 0$aCorporate governance$xLaw and legislation 615 0$aEthics and compliance officers 676 $a346.41/082 700 $aMills$b Annie$0848002 801 0$bMiAaPQ 801 1$bMiAaPQ 801 2$bMiAaPQ 906 $aBOOK 912 $a9910792418903321 996 $aEssential strategies for financial services compliance$91893839 997 $aUNINA