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Essential strategies for financial services compliance / / Annie Mills, Peter Haines
| Essential strategies for financial services compliance / / Annie Mills, Peter Haines |
| Autore | Mills Annie |
| Edizione | [Second edition.] |
| Pubbl/distr/stampa | Chichester, England : , : Wiley, , 2015 |
| Descrizione fisica | 1 online resource (527 pages) : illustrations (some color), tables |
| Disciplina | 346.41/082 |
| Soggetto topico |
Financial services industry - Law and legislation - Great Britain
Corporate governance - Law and legislation - Great Britain Ethics and compliance officers - Great Britain |
| ISBN |
1-118-90618-7
1-119-20807-6 1-118-90619-5 |
| Classificazione | BUS003000 |
| Formato | Materiale a stampa  |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | 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. |
| Record Nr. | UNINA-9910208944903321 |
Mills Annie
|
||
| Chichester, England : , : Wiley, , 2015 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Essential strategies for financial services compliance / / Annie Mills, Peter Haines
| Essential strategies for financial services compliance / / Annie Mills, Peter Haines |
| Autore | Mills Annie |
| Edizione | [Second edition.] |
| Pubbl/distr/stampa | Chichester, England : , : Wiley, , 2015 |
| Descrizione fisica | 1 online resource (527 pages) : illustrations (some color), tables |
| Disciplina | 346.41/082 |
| Soggetto topico |
Financial services industry - Law and legislation - Great Britain
Corporate governance - Law and legislation - Great Britain Ethics and compliance officers - Great Britain |
| ISBN |
1-118-90618-7
1-119-20807-6 1-118-90619-5 |
| Classificazione | BUS003000 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | 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. |
| Record Nr. | UNINA-9910818629103321 |
|
Mills Annie
|
||
| Chichester, England : , : Wiley, , 2015 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Essential strategies for financial services compliance [[electronic resource] /] / Annie Mills
| Essential strategies for financial services compliance [[electronic resource] /] / Annie Mills |
| Autore | Mills Annie |
| Pubbl/distr/stampa | Chichester, England ; ; Hoboken, NJ, : J. Wiley, c2008 |
| Descrizione fisica | 1 online resource (378 p.) |
| Disciplina | 346.41/082 |
| Soggetto topico |
Financial services industry - Law and legislation - Great Britain
Corporate governance - Law and legislation - Great Britain Ethics and compliance officers - Great Britain |
| ISBN |
0-470-69938-8
1-282-54865-4 9786612548659 0-470-69991-4 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto |
Essential 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
11 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? Box 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 |
| Record Nr. | UNINA-9910792418903321 |
|
Mills Annie
|
||
| Chichester, England ; ; Hoboken, NJ, : J. Wiley, c2008 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||