Essential strategies for financial services compliance /

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Compliance 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 Fina...

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Detalles Bibliográficos
Clasificación:Libro Electrónico
Autor principal: Mills, Annie
Formato: Electrónico eBook
Idioma:Inglés
Publicado: Chichester, England ; Hoboken, NJ : J. Wiley, ©2008.
Temas:
Financial services industry > Law and legislation > Great Britain.
Corporate governance > Law and legislation > Great Britain.
Ethics and compliance officers > Great Britain > Handbooks, manuals, etc.
Responsables de l'éthique et de la conformité > Grande-Bretagne > Guides, manuels, etc.
LAW > Administrative Law & Regulatory Practice.
Corporate governance > Law and legislation
Ethics and compliance officers
Financial services industry > Law and legislation
Great Britain
handbooks.
manuals (instructional materials)
Handbooks and manuals
Handbooks and manuals.
Guides et manuels.
Acceso en línea:Texto completo
Tabla de Contenidos:
  • Commentary and Context. The UK Regulatory Environment
  • 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
  • Routine Compliance Activities
  • Routine Anti-Money Laundering Activities
  • Compliance in the Front Office
  • Compliance for Senior Management, the Back Office and Other Support Departments
  • Compliance Conundrums : What Would You Do?
  • Compliance Perspectives.

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