MARC details
| 000 -LEADER |
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| fixed length control field |
03377cam a22003015a 4500 |
| 001 - CONTROL NUMBER |
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| control field |
18579742 |
| 005 - DATE AND TIME OF LATEST TRANSACTION |
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| control field |
20161109133645.0 |
| 008 - FIXED-LENGTH DATA ELEMENTS--GENERAL INFORMATION |
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| fixed length control field |
150417s2015 enka fr 001 0 eng d |
| 020 ## - INTERNATIONAL STANDARD BOOK NUMBER |
|---|
| International Standard Book Number |
9781118906132 |
| 040 ## - CATALOGING SOURCE |
|---|
| Original cataloging agency |
DLC |
| Language of cataloging |
eng |
| Transcribing agency |
DLC |
| Modifying agency |
EG-ScBUE |
| 043 ## - GEOGRAPHIC AREA CODE |
|---|
| Geographic area code |
e-uk--- |
| 082 04 - DEWEY DECIMAL CLASSIFICATION NUMBER |
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| Classification number |
346.41082 |
| Edition number |
22 |
| Item number |
MIL |
| 100 1# - MAIN ENTRY--PERSONAL NAME |
|---|
| Personal name |
Mills, Annie. |
| 245 10 - TITLE STATEMENT |
|---|
| Title |
Essential strategies for financial services compliance / |
| Statement of responsibility, etc |
Annie Mills, Peter Haines. |
| 250 ## - EDITION STATEMENT |
|---|
| Edition statement |
2nd ed. |
| 260 ## - PUBLICATION, DISTRIBUTION, ETC. (IMPRINT) |
|---|
| Place of publication, distribution, etc |
Chichester : |
| Name of publisher, distributor, etc |
John Wiley & Sons, |
| Date of publication, distribution, etc |
2015. |
| 300 ## - PHYSICAL DESCRIPTION |
|---|
| Extent |
xxiv, 372 p. : |
| Other physical details |
ill. ; |
| Dimensions |
25 cm. |
| 500 ## - GENERAL NOTE |
|---|
| General note |
Index : p. 361-372. |
| 505 0# - FORMATTED CONTENTS NOTE |
|---|
| Formatted contents note |
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. |
| 520 ## - SUMMARY, ETC. |
|---|
| Summary, etc |
"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"-- |
| 650 #7 - SUBJECT ADDED ENTRY--TOPICAL TERM |
|---|
| Topical term or geographic name as entry element |
Financial services industry |
| General subdivision |
Law and legislation |
| Geographic subdivision |
Great Britain. |
| Source of heading or term |
BUEsh |
| 650 #7 - SUBJECT ADDED ENTRY--TOPICAL TERM |
|---|
| Topical term or geographic name as entry element |
Corporate governance |
| General subdivision |
Law and legislation |
| Geographic subdivision |
Great Britain. |
| Source of heading or term |
BUEsh |
| 650 #7 - SUBJECT ADDED ENTRY--TOPICAL TERM |
|---|
| Topical term or geographic name as entry element |
Ethics and compliance officers |
| Geographic subdivision |
Great Britain |
| Form subdivision |
Handbooks, manuals, etc. |
| Source of heading or term |
BUEsh |
| 651 ## - SUBJECT ADDED ENTRY--GEOGRAPHIC NAME |
|---|
| Source of heading or term |
BUEsh |
| 653 ## - INDEX TERM--UNCONTROLLED |
|---|
| Resource For college |
BAEPS, Business Administration |
| Arrived date list |
October2016 |
| -- |
November2014 |
| 700 1# - ADDED ENTRY--PERSONAL NAME |
|---|
| Personal name |
Haines, Peter, |
| Dates associated with a name |
1959- |
| 942 ## - ADDED ENTRY ELEMENTS (KOHA) |
|---|
| Source of classification or shelving scheme |
Dewey Decimal Classification |
| 952 ## - LOCATION AND ITEM INFORMATION (KOHA) |
|---|
| -- |
2016-10-16 |