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Compliance Officer's Handbook

By (author) John Virgo, Philip Ryley
Genres: Financial law
Format: Paperback
Publisher: LexisNexis UK, London, United Kingdom
Imprint: Tolley Publishing
Published: 30th Nov 2004
ISBN-10: 0754525708
ISBN-13: 9780754525707
Barcode No: 9780754525707
Increasing regulatory developments and sanctions are making the role of those with compliance responsibility ever more challenging. Financial services firms regularly fall under the FSA's spotlight, for many aspects of the conduct of their business. This handbook provides concise yet thorough guidance for compliance officers, managers, and indeed all those in authorised firms (or firms considering becoming authorised). Including coverage of the FSA regime for general insurance mediation and mortgage business (ICOB and MCOB), Virgo and Ryley's straightforward and user-friendly treatment of financial services compliance makes this book the compliance officer's indispensable companion.

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