Essential Strategies for Financial Services Compliance.
Annie. Mills
Bok Engelsk 2015 · Electronic books.
| Omfang | 1 online resource (527 pages)
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| Utgave | 2nd ed.
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| Opplysninger | Intro -- Praise for the First Edition -- Title Page -- Copyright -- Acknowledgements -- List of Abbreviations -- Preface to the First Edition (Or, How Not to be an Execution Officer) -- 3.1 Compliance Officers are Great!!! -- 3.1 Scope, Coverage and Readership -- 3.2 Addendum from Peter -- Foreword to the First Edition -- Foreword to the Second Edition -- Part One: Commentary and Context -- Chapter 1: The UK Regulatory Environment -- 1.1 Regulation in the UK -- 1.2 Different Regulatory Regimes in the UK -- 1.3 The FSMA Regime for Investment Business -- 1.4 The UK'S Anti-Money Laundering Regime -- 1.5 The UK'S Takeover Regime -- 1.6 Other UK Regulatory Regimes -- Chapter 2: The Compliance Function -- 2.1 Compliance as a Concept -- 2.2 The Compliance Officer -- 2.3 Compliance: Good and Bad -- 2.4 The Argument for Compliance -- 2.5 Compliance as a Profession -- Chapter 3: The Compliance Contract -- 3.1 The Compliance Mission Statement -- 3.2 The Compliance Charter -- Chapter 4: Mapping Your Compliance Universe -- Chapter 5: Mapping Your Corporate Universe -- 5.1 Operating Entities -- 5.2 Business Units -- 5.3 External Service Providers -- Chapter 6: Regulators and Other Industry Bodies -- 6.1 Exchanges -- 6.2 Clearing Houses -- Chapter 7: The Legislative Environment and Rules Mapping -- 7.1 Rules Mapping -- 7.2 Detailed Rules Mapping for Your Own Firm -- 7.3 Rules Mapping for an Overseas Jurisdiction -- Chapter 8: Financial Products, Services and Documentation -- 8.1 Products and Services -- 8.2 Understanding Products and Services in Context -- 8.3 Documentation -- Chapter 9: Compliance Outside the Compliance Department -- 9.1 The Front Office -- 9.2 The Back Office, Control and Other Support Functions -- Chapter 10: Key Compliance Department Activities -- 10.1 Routine Activities -- 10.2 Off-Piste Compliance: Advisory Work.. - 10.3 Compliance Conundrums -- 10.4 Dealing With a Lack of Cooperation -- Chapter 11: Comply or Die - When Things go Wrong -- 11.1 Someone's Watching You -- 11.2 The Regulators have 'Hot Buttons' -- 11.3 What the Regulators can do to Find Out More -- 11.4 What to do If You are being Investigated or are Subject to Disciplinary Action -- 11.5 Consequences of Rule Breaches and Other Regulatory Misdemeanours -- Appendices -- Appendix A: Routine Compliance Activities -- Appendix B: Routine Anti-Money Laundering Activities -- Appendix C: Compliance in the Front Office -- Appendix D: Compliance for Senior Management, the Back Office and Other Support Departments -- Appendix E: Compliance Conundrums - What Would You Do? -- Part Two: Compliance Perspectives -- Box 1: Acting on Principle -- Box 2: ARROW -- Box 3: Basel III and CRD IV -- Box 4: Extradition -- Box 5: Financial Services Action Plan -- Box 6: Going Global? -- Box 7: Industry Guidance -- Box 8: L& -- G V. the FSA - Who Were the Real Winners and Losers? -- Box 9: Markets in Financial Instruments Directive -- Box 10: Money Laundering Statistics -- Box 11: Prudential Regulation of Capital Adequacy -- Box 12: The Enforcement Process: Getting on the wrong side of the regulators -- Box 13: The Laundering Process -- Box 14: Treating Customers Fairly -- Index -- End User License Agreement.. - Electronic reproduction. Ann Arbor, Michigan : ProQuest Ebook Central, 2021. Available via World Wide Web. Access may be limited to ProQuest Ebook Central affiliated libraries.
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| ISBN | 9781118906194
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