Essential Strategies for Financial Services Compliance

Essential Strategies for Financial Services Compliance

By Annie Mills

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Book Description

A fully updated edition of the definitive guide to financialregulation

In recent years, not only has the compliance field become firmlyestablished, but it has seen staggering growth, thanks tonever-ending changes in the regulatory environment. As regulationincreases still further, the demand for clear guidance onnavigating daily compliance issues is greater than ever. Now in itssecond edition, the highly successful Essential Strategies forFinancial Services Compliance has been updated with the latestcompliance strategies and regulatory information, making itindispensable for compliance officers, legal firms, and anyone elseworking with the financial services compliance function.

Non-compliance represents a significant material risk for anyfinancial services firm that fails to understand and appropriatelyapply regulatory standards. This Second Edition of EssentialStrategies for Financial Services Compliance makes it easy todigest complex information on the regulatory framework. But thisbook is far from solely theoretical. A balanced approach means thatboth the concepts and their application are within reach.Annie Mills and Peter Haines deliver solid advice that can beapplied on a day-to-day basis to manage any compliance issues thatmay arise. Read this book to:

  • Understand the conceptual basis of compliance and the currentregulatory environment applicable to the financial servicesindustry
  • Quickly and thoroughly learn the accepted best practices foreveryday compliance
  • Get up to date information on the current financial regulatoryenvironment with this new edition
  • Reference detailed advice as issues arise in day-to-dayoperations

This update to the popular first edition of EssentialStrategies for Financial Services Compliance will helpeliminate non-compliance risk and ensure that your firm is entirelycurrent on its ability to navigate the maze of financial servicesregulation.