Essential strategies for financial services compliance
"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 dem...
| Otros Autores: | , |
|---|---|
| Formato: | Libro electrónico |
| Idioma: | Inglés |
| Publicado: |
Chichester, England :
Wiley
2015.
|
| Edición: | Second edition |
| Materias: | |
| Ver en Biblioteca Universitat Ramon Llull: | https://discovery.url.edu/permalink/34CSUC_URL/1im36ta/alma991009631585006719 |
Tabla de Contenidos:
- 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.
