首页 >
法律 >
企业管治 >
Essential Strategies for Financial Services Compliance, 2nd Edition

Essential Strategies for Financial Services Compliance, 2nd Edition

作者： Annie Mills, Peter Haines
出版商： John Wiley & Sons
ISBN: 9781118906132
出版时间 November 2015
规格： Hardback , 400 pages
适应领域： U.S. ? 免责申明：
Countri(es) stated herein are used as reference only

List Price: ￥604.50

￥586.37 Save ￥18.14 (3%)

或

下载订单表

加入收藏
| 加入比较

描述
大纲
作者

详细
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 successfulEssential 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 Compliancemakes 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.
Acknowledgements ix

List of Abbreviations xi

Preface (Or, How Not to be an Execution Officer) xvii

Foreword to the First Edition xxi

Foreword to the Second Edition xxiii

PART ONE COMMENTARY AND CONTEXT 1

CHAPTER 1 The UK Regulatory Environment 3

1.1 Regulation in the UK 3

1.2 Different regulatory regimes in the UK 5

1.3 The FSMA regime for investment business 5

1.4 The UK’s anti-money laundering regime 11

1.5 The UK’s takeover regime 13

1.6 Other UK regulatory regimes 13

CHAPTER 2 The Compliance Function 15

2.1 Compliance as a concept 16

2.1.1 What is Compliance? 16

2.1.2 Who is responsible for Compliance? 19

2.1.3 Different Compliance models 21

2.2 The Compliance Officer 22

2.2.1 Key responsibilities of the Compliance Officer 22

2.2.2 What are the characteristics of a good Compliance Officer? 24

2.3 Compliance: good and bad 26

2.3.1 What are the characteristics of a good Compliance regime? 26

2.3.2 What are the characteristics of a bad Compliance regime? 30

2.3.3 Danger signals 32

2.4 The argument for Compliance 33

2.4.1 What are the benefits of Compliance, regulation and the Compliance Officer? 33

2.4.2 What are the costs of Compliance? 40

2.5 Compliance as a profession 41

CHAPTER 3 The Compliance Contract 45

3.1 The Compliance Mission Statement 46

3.2 The Compliance Charter 47

3.2.1 Contents of a Compliance Charter 47

CHAPTER 4 Mapping Your Compliance Universe 53

CHAPTER 5 Mapping Your Corporate Universe 57

5.1 Operating entities 57

5.2 Business units 61

5.3 External Service Providers 66

CHAPTER 6 Regulators and Other Industry Bodies 69

6.1 Exchanges 70

6.2 Clearing houses 76

CHAPTER 7 The Legislative Environment and Rules Mapping 77

7.1 Rules mapping 79

7.2 Detailed rules mapping for your own firm 79

7.3 Rules mapping for an overseas jurisdiction 82

CHAPTER 8 Financial Products, Services and Documentation 85

8.1 Products and services 85

8.2 Understanding products and services in context 86

8.3 Documentation 88

CHAPTER 9 Compliance Outside the Compliance Department 91

9.1 The Front Office 92

9.2 The Back Office and other support functions 93

CHAPTER 10 Key Compliance Department Activities 95

10.1 Routine activities 95

10.2 Off-Piste Compliance: advisory work 96

10.2.1 Understanding what it is all about 97

10.2.2 What are the regulatory implications? 99

10.2.3 Your plan of attack 105

10.3 Compliance conundrums 107

10.4 Dealing with a lack of cooperation 108

CHAPTER 11 Comply or Die – When Things Go Wrong 111

11.1 Someone’s watching you 113

11.2 The regulators have ‘hot buttons’ 118

11.3 What the regulators can do to find out more 120

11.4 What to do if you are being investigated or are subject to disciplinary action 122

11.5 Consequences of rule breaches and other regulatory misdemeanours 124

APPENDICES

A Routine Compliance Activities 131

B Routine Anti-Money Laundering Activities 207

C Compliance in the Front Office 221

D Compliance for Senior Management, the Back Office and Other Support Departments 265

E Compliance Conundrums – What Would You Do? 291

PART TWO COMPLIANCE PERSPECTIVES 333

Box 1: Acting on Principle 335

Box 2: ARROW 339

Box 3: Basel III and CRD IV 340

Box 4: Extradition 342

Box 5: Financial Services Action Plan 343

Box 6: Going Global? 345

Box 7: Industry Guidance 347

Box 8: L&G v. the FSA – Who are the Real Winners and Losers? 349

Box 9: Markets in Financial Instruments Directive 350

Box 10: Money Laundering Statistics 353

Box 11: Prudential Regulation of Capital Adequacy 354

Box 12: The Enforcement Process – Getting on the Wrong Side of the Regulators 356

Box 13: The Laundering Process 357

Box 14: Treating Customers Fairly 358

Index 361
Annie Mills is an experienced compliance officer and has worked in many areas of investment management and banking compliance. She is currently Head of Compliance at Cantor Index & Cantor Fitzgerald Europe. Prior positions include Compliance Director (Internal Controls) at BGC Partners/Cantor Fitzgerald Group, and Senior Compliance Officer at Standard Bank.

Peter Haines is a chartered accountant with experience as a regulator and as a senior Compliance Officer and Money Laundering Reporting Officer. He has been a consultant since 2006, advising banks and investment firms, initially on compliance issues, but increasingly on governance and risk as well. Peter travels widely in this role and has gained experience in various US, European and Asian financial centres. He is now a non-executive director with a UK bank, chairing its Audit, Risk and Compliance Committee, and a Visiting Fellow at the ICMA Centre, University of Reading and Henley Business School.

你可能需要


The Hong Kong Company Secretary's Handbook: Practice and Procedure (11th Edition): List Price: ￥497.55

￥482.62 Save ￥14.93 (3%)


Hong Kong Tax & Accounting Practical Toolkit (Basic Package): ￥3,161.07


Hong Kong Company Secretary Checklist, 2nd Edition: List Price: ￥1,283.40

￥1,244.90 Save ￥38.50 (3%)


Law of Companies in Hong Kong, 4th Edition (Hardcopy + e-Book): List Price: ￥3,255.00

￥3,157.35 Save ￥97.65 (3%)


Butterworths Hong Kong Discrimination Law Handbook, 4th Edition: List Price: ￥1,395.00

￥1,353.15 Save ￥41.85 (3%)


Sentencing in Hong Kong, 11th Edition: List Price: ￥3,329.40

￥3,229.52 Save ￥99.88 (3%)


Butterworths Hong Kong Company Law (Winding-Up and Miscellaneous Provisions) Handbook, 6th Edition: List Price: ￥2,120.40

￥2,056.79 Save ￥63.61 (3%)


Butterworths Hong Kong Company Law Handbook, 26th Edition: List Price: ￥4,092.00

￥3,969.24 Save ￥122.76 (3%)


Cross-Border Crime in Hong Kong: Extradition, Mutual Assistance & Financial Sanctions, 3rd Edition: List Price: ￥1,934.40

￥1,876.37 Save ￥58.03 (3%)


Clough & Clough on Personal Injuries: List Price: ￥1,395.00

￥1,353.15 Save ￥41.85 (3%)


Hong Kong Personal Insolvency Manual, 3rd Edition: List Price: ￥1,860.00

￥1,804.20 Save ￥55.80 (3%)


Butterworths Hong Kong Conveyancing and Property Law Handbook, 6th Edition: List Price: ￥1,674.00

￥1,623.78 Save ￥50.22 (3%)


A Practical Guide to Resolving Shareholder Disputes, 2nd Edition: List Price: ￥1,674.00

￥1,623.78 Save ￥50.22 (3%)


Tort Law in Hong Kong, 5th Edition (Hardcopy + ebook): List Price: ￥2,325.00

￥2,255.25 Save ￥69.75 (3%)


Company Law in Hong Kong: Practice and Procedure 2023 (Hardcopy + e-Book): List Price: ￥2,974.14

￥2,884.92 Save ￥89.22 (3%)


Company Law in Hong Kong: Insolvency 2023 (Hardcopy + e-Book): List Price: ￥2,643.99

￥2,564.67 Save ￥79.32 (3%)


Hong Kong Company Law, 15th Edition: List Price: ￥457.56

￥443.83 Save ￥13.73 (3%)


Private Equity in Hong Kong and China, 4th Edition: List Price: ￥1,860.00

￥1,804.20 Save ￥55.80 (3%)


Hong Kong Family Court Practice, 4th Edition: List Price: ￥2,511.00

￥2,435.67 Save ￥75.33 (3%)


Brooke's Notary Hong Kong, 3rd Edition: List Price: ￥1,581.00

￥1,533.57 Save ￥47.43 (3%)

“

Ordering from Professional Bookshop is fantastic, quick delivery great products, great customer service Siti L.
This is a great bookstore and have had no problems with them and all my orders have come on time and in good condition. Yang X.
Everything is perfect. Fast delivery. I highly recommend this website to all my friends and colleagues. Thanks Hoi Man L.
So thankful I am receiving all my books, thank you to all for a great service and excellent products Clinton K.
Professional Bookshop is amazing! I've been a loyal customer for over 5 years. Returns are easy to request, book or delivery complaints are taken seriously and the customer service team is friendly and patient. Mick D.
I wanted to informed you that the customer service is excellent. They were so polite and nice. I would continue to buy books from Professional Bookshop. Jingsong C.
Fast and quick service. Easy transaction method, arrived sooner than expected. Excellent packaging and the books received are in perfect condition! Thank you very much! I love the book and its quality. Saori B.
I can order any accounting books from worldwide from Professional Bookshop. Love this website and save my time to search from internet. Lingxiao R.
It is just so easy to find what you are always looking for and sometimes you can even find it up to 80% off what you would in the normal store. Graeme R.
I love shopping on Professional Bookshop! They have a wide range of accounting book with competent prices. Free shipping in Hong Kong is also really handy! Fergus Y.
Professional Bookshop is a great bookstore, I must say. Buying books in Professional Bookshop is so easy, great and reliable. It is highly recommendable. Deborah D.
A great site to shop accounting books and everything and with discountable prices. It’s my first choice whenever i want to shop something. Most trusted site. Zeng Z.
I found the books I needed and at a very low price. I am very happy and will definitely use it in the future Brian W.
I have been using Professional Bookshop for a while now. I am very impressed with customer service and delivery. When I need to have a return it is done very diligently. Olivia L.
Professional Bookshop is my default go to for finding the best prices and reading details of law books before buying. Detailed book description is very helpful. Tracy W.
I've been using Professional Bookshop since 2011 and they actually great, I always received great service and my book arrives on time. Lisa C.

所有书籍

Essential Strategies for Financial Services Compliance, 2nd Edition

Free delivery Hong Kong?

详细

你可能需要

What Our Customers Say?

所有书籍

Essential Strategies for Financial Services Compliance, 2nd Edition

Free delivery Hong Kong?

详细

你可能需要

What Our Customers Say?

video title