000			03377cam a22003015a 4500
001			18579742
005			20161109133645.0
008			150417s2015 enka fr 001 0 eng d
020			_a9781118906132
040			_aDLC _beng _cDLC _dEG-ScBUE
043			_ae-uk---
082	0	4	_a346.41082 _222 _bMIL
100	1		_aMills, Annie.
245	1	0	_aEssential strategies for financial services compliance / _cAnnie Mills, Peter Haines.
250			_a2nd ed.
260			_aChichester : _bJohn Wiley & Sons, _c2015.
300			_axxiv, 372 p. : _bill. ; _c25 cm.
500			_aIndex : p. 361-372.
505	0		_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.
520			_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"--
650		7	_aFinancial services industry _xLaw and legislation _zGreat Britain. _2BUEsh
650		7	_aCorporate governance _xLaw and legislation _zGreat Britain. _2BUEsh
650		7	_aEthics and compliance officers _zGreat Britain _vHandbooks, manuals, etc. _2BUEsh
651			_2BUEsh
653			_bBUSADM _cOctober2016 _cNovember2014
700	1		_aHaines, Peter, _d1959-
942			_2ddc
999			_c22607 _d22579