Essential Strategies for Financial Services Compliance
(Sprache: Englisch)
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...
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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 Financial Services Compliance offers practical guidance on how to apply a regulatory requirement to day to day situations. It also shows how to communicate the compliance department's activities to the rest of the firm, how the role fits within the organization as a whole, what the scope and limitation of their responsibilities are, what to do when things go wrong, and how to deal with unusual problems.
Klappentext zu „Essential Strategies for Financial Services Compliance “
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'srole a difficult one. Essential Strategies for Financial Services Compliance offers practical guidance on how to apply a regulatory requirement to day to day situations. It also shows how to communicate the compliance department's activities to the rest of the firm, how the role fits within the organization as a whole, what the scope and limitation of their responsibilities are, what to do when things go wrong, and how to deal with unusual problems.
Inhaltsverzeichnis zu „Essential Strategies for Financial Services Compliance “
ContentsPreface (or How Not to be an Execution Officer)
Acknowledgements
List of Abbreviations
PART I: COMMENTARYAND CONTEXT
1 The UK Regulatory Environment
1.1 Different regulatory regimes in the UK
1.2 The FSMA regime for investment business
1.3 The UK s anti-money-laundering regime
1.4 The UK s takeover regime
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
3 The Compliance Contract
3.1 The Compliance Mission Statement
3.2 The Compliance Charter
4 Mapping Your Compliance Universe
5 Mapping Your Corporate Universe
5.1 Operating entities
5.2 Business units
5.3 External Service Providers
6 Regulators and Other Industry Bodies
6.1 Exchanges
6.2 Clearing houses
7 The Legislative Environment and Rules Mapping
7.1 Rules mapping
7.2 Detailed rules mapping for your own firm
7.3 Mapping requirement for an overseas jurisdiction
8 Financial Products, Services and Documentation
8.1 Products and services
8.2 Understanding products and services in context
8.3 Documentation
9 Compliance Outside the Compliance Department
9.1 The Front office
9.2 The Back office and other support functions
10 Key Compliance Department Activities
10.1 Routine activities
10.2 Off Piste Compliance: advisory work
10.3 Compliance conundrums
11 Comply or Die - When Things go Wrong
11.1 Someone s watching you
11.2 The FSA has hot buttons
11.3 What the FSA 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
A Routine Compliance Activities
B Routine Anti-Money-Laundering Activities
C Compliance in the Front Office
D Compliance for Senior Management, the Back Office and Other Support Departments
E Compliance Conundrums - What Would You Do?
PART II: INFORMATIVE EXAMPLES
Box 1: Acting on
... mehr
Principle
Box 2: ARROW
Box 3: Basel II and CRD
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 are the real winners and losers?
Box 9: Markets in Financial Instruments Directive
Box 11: Prudential Regulation of Capital Adequacy
Box 12: The Enforcement Process Getting on the wrong side of the FSA
Box 13: The Lamfalussy Process
Box 14: The Laundering Process
Box 15: Treating Customers Fairly
PART III: APPENDICES ON THE WEBSITE
1 Regulators and Other Industry Bodies
2 Exchanges and Clearing Houses
3 Financial Services Legislation
4 Anti-Money Laundering and Counter Terrorist Financing
5 EU Legislation Relevant to Financial Services in the UK
6 US Legislation Relevant to Financial Services in the UK
7 Equities, Bonds and Loans - Summary Differences
8 Equities
9 Bonds
10 Loans
11 Derivatives
12 Collective Investment
13 Foreign Exchange
14 The Money Market
15 Islamic Finance
16 Trade Finance
17 Trusts
18 National Savings and Investments
19 Customer Documents
20 Trade Documents
21 Regulatory Documents
22 UK Tax Documents
23 Sample Enforcement Actions
24 Sources and Resources
Index
Box 2: ARROW
Box 3: Basel II and CRD
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 are the real winners and losers?
Box 9: Markets in Financial Instruments Directive
Box 11: Prudential Regulation of Capital Adequacy
Box 12: The Enforcement Process Getting on the wrong side of the FSA
Box 13: The Lamfalussy Process
Box 14: The Laundering Process
Box 15: Treating Customers Fairly
PART III: APPENDICES ON THE WEBSITE
1 Regulators and Other Industry Bodies
2 Exchanges and Clearing Houses
3 Financial Services Legislation
4 Anti-Money Laundering and Counter Terrorist Financing
5 EU Legislation Relevant to Financial Services in the UK
6 US Legislation Relevant to Financial Services in the UK
7 Equities, Bonds and Loans - Summary Differences
8 Equities
9 Bonds
10 Loans
11 Derivatives
12 Collective Investment
13 Foreign Exchange
14 The Money Market
15 Islamic Finance
16 Trade Finance
17 Trusts
18 National Savings and Investments
19 Customer Documents
20 Trade Documents
21 Regulatory Documents
22 UK Tax Documents
23 Sample Enforcement Actions
24 Sources and Resources
Index
... weniger
Bibliographische Angaben
- Autor: Annie Mills
- 2008, 1. Auflage, 288 Seiten, Maße: 17,7 x 3,2 cm, Gebunden, Englisch
- Verlag: Wiley & Sons
- ISBN-10: 0470519045
- ISBN-13: 9780470519042
- Erscheinungsdatum: 26.08.2008
Sprache:
Englisch
Rezension zu „Essential Strategies for Financial Services Compliance “
"...offers practical guidance...and how to deal with unusual problems."Securities & Investment Review May 2008
Pressezitat
"...offers practical guidance...and how to deal with unusual problems." Securities & Investment Review May 2008
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