03691cam a22003255a 45000010009000000050017000090080041000260200018000670400028000850430012001130820023001251000018001482450089001662500012002552600044002673000035003115000024003465050427003705201951007976500076027486500069028246500083028936510010029766530038029867000026030249420008030509990017030589520145030759520145032201857974220161109133645.0150417s2015    enka   fr     001 0 eng d  a9781118906132  aDLCbengcDLCdEG-ScBUE  ae-uk---04a346.41082222bMIL1 aMills, Annie.10aEssential strategies for financial services compliance /cAnnie Mills, Peter Haines.  a2nd ed.  aChichester :bJohn Wiley & Sons,c2015.  axxiv, 372 p. :bill. ;c25 cm.  aIndex : p. 361-372.0 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.  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"-- 7aFinancial services industryxLaw and legislationzGreat Britain.2BUEsh 7aCorporate governancexLaw and legislationzGreat Britain.2BUEsh 7aEthics and compliance officerszGreat BritainvHandbooks, manuals, etc.2BUEsh  2BUEsh  bBUSADMcOctober2016cNovember20141 aHaines, Peter,d1959-  2ddc  c22607d22579  00102ddc40708AcademicaMAINbMAINc1STd2016-10-16ePurchaseg546.00h9154l0o346.41082 MILp000034128r2025-07-15 00:00:00v682.00yBB  00102ddc40708AcademicaMAINbMAINc1STd2016-10-27ePurchaseg546.00h9154l0o346.41082 MILp000045135r2025-07-15 00:00:00v682.50yBB