Compliance Officer's Handbook by John Virgo and Philip Ryley; Published by LexisNexis Butterworth; 206pp; Price £65; ISBN: 0754525708
The authors behind the Compliance Officer's Handbook have recognised that many compliance professionals appreciate additional support outside their specific area of expertise. The handbook provides a high-level overview of the financial services regulatory framework and is relevant to those with experience whilst also accessible to those new to regulation.
The book opens with introductory sections about the regulatory landscape and applying for authorisation. Sections continue to elaborate on areas such as risk-based compliance enforcement compliance models training and competence anti-money-laundering and complaints-handling. However the highlight of the book is the section covering lessons learned from past failures. This uses examples of previous enforcement action to illustrate the mistakes firms...
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Compliance Officer's Handbook by John Virgo and Philip Ryley; Published by LexisNexis Butterworth; 206pp; Price £65; ISBN: 0754525708
The authors behind the Compliance Officer's Handbook have recognised that many compliance professionals appreciate additional support outside their specific area of expertise. The handbook provides a high-level overview of the financial services regulatory framework and is relevant to those with experience whilst also accessible to those new to regulation.
The book opens with introductory sections about the regulatory landscape and applying for authorisation. Sections continue to elaborate on areas such as risk-based compliance enforcement compliance models training and competence anti-money-laundering and complaints-handling. However the highlight of the book is the section covering lessons learned from past failures. This uses examples of previous enforcement action to illustrate the mistakes firms...
If you or your firm subscribes to Taxjournal.com, please click the login box below:
If you do not subscribe but are a registered user, please enter your details in the following boxes:
.jpg?sfvrsn=335a554c_0 "300 x 250 (MPU)")