LEADER 04519nam 2200661 450 001 9910818629103321 005 20231214154210.0 010 $a1-118-90618-7 010 $a1-119-20807-6 010 $a1-118-90619-5 035 $a(CKB)4330000000002711 035 $a(SSID)ssj0001555137 035 $a(PQKBManifestationID)16198238 035 $a(PQKBTitleCode)TC0001555137 035 $a(PQKBWorkID)14817738 035 $a(PQKB)22160280 035 $a(DLC) 2015016139 035 $a(Au-PeEL)EBL4436059 035 $a(CaPaEBR)ebr11169661 035 $a(CaONFJC)MIL839959 035 $a(OCoLC)898155834 035 $a(CaSebORM)9781118906132 035 $a(MiAaPQ)EBC4436059 035 $a(PPN)271975342 035 $a(EXLCZ)994330000000002711 100 $a20160330h20152015 uy 0 101 0 $aeng 135 $aurcnu|||||||| 181 $ctxt 182 $cc 183 $acr 200 10$aEssential strategies for financial services compliance /$fAnnie Mills, Peter Haines 205 $aSecond edition. 210 1$aChichester, England :$cWiley,$d2015. 210 4$dİ2015 215 $a1 online resource (527 pages) $cillustrations (some color), tables 300 $aIncludes index. 311 $aprint version 9781118906132 320 $aIncludes bibliographical references and index. 327 $aThe 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. 330 $a"A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation"--$cProvided by publisher. 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 $a346.41/082 686 $aBUS003000$2bisacsh 700 $aMills$b Annie$01649415 702 $aHaines$b Peter$f1959- 801 0$bMiAaPQ 801 1$bMiAaPQ 801 2$bMiAaPQ 906 $aBOOK 912 $a9910818629103321 996 $aEssential strategies for financial services compliance$93998138 997 $aUNINA