Regulation and compliance in operations
'Regulation and Compliance in Operations' looks at how regulation affects the operations function by focusing on regulatory issues and drivers. As regulatory demands ever increasing, it is important for operations teams to be aware of the important regulatory issues which exist globally....
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| Format: | eBook |
| Language: | Inglés |
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Amsterdam ; London :
Elsevier
2004.
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| Edition: | 1st edition |
| Series: | Securities Institute Operations Management
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| See on Biblioteca Universitat Ramon Llull: | https://discovery.url.edu/permalink/34CSUC_URL/1im36ta/alma991009627610706719 |
Table of Contents:
- Front Cover; Regulation and Compliance in Operations; Copyright Page; Contents; Preface; Acknowledgements; Chapter 1. What is regulation?; Chapter 2. Regulation and compliance in different markets; Chapter 3. Compliance and operations; Chapter 4. Client protection in the retail markets; Chapter 5. Money laundering; Chapter 6. Fraud and insider dealing; Chapter 7. Operations and breaches of regulation; Chapter 8. The future of regulation; Appendix A. The principles; Appendix B. Global master securities lending agreement; Appendix C. Settlement procedures
- Appendix D. Commodity Futures Modernization Act 2000Useful websites; Index
