Essential strategies for financial services compliance:
Gespeichert in:
| Hauptverfasser: | , |
|---|---|
| Format: | Buch |
| Sprache: | English |
| Veröffentlicht: |
Chichester [u.a.]
Wiley
2015
|
| Ausgabe: | 2. ed. |
| Online-Zugang: | Inhaltsverzeichnis |
| Beschreibung: | XXIV, 372 S. Ill. |
| ISBN: | 9781118906132 |
Internformat
MARC
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| 245 | 1 | 0 | |a Essential strategies for financial services compliance |c Annie Mills ; Peter Haines |
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| 264 | 1 | |a Chichester [u.a.] |b Wiley |c 2015 | |
| 300 | |a XXIV, 372 S. |b Ill. | ||
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| 338 | |b nc |2 rdacarrier | ||
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Datensatz im Suchindex
| _version_ | 1804152246549610496 |
|---|---|
| adam_text | Titel: Essential strategies for financial services compliance
Autor: Mills, Annie
Jahr: 2015
Contents
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
COMMHITARY 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
2.4.1 What are the benefits of Compliance, regulation and the Compliance
Officer?
2.4.2 What are the costs of Compliance?
2.5 Compliance as a profession
CHAPTER 3
The Compliance Contract
3.1 The Compliance Mission Statement
3.2 The Compliance Charter
3.2.1 Contents of a Compliance Charter
CHAPTER 4
Mapping Your Compliance Universe
CHAPTER 5
Mapping Your Corporate Universe
5.1 Operating entities
5.2 Business units
5.3 External Service Providers
CHAPTER 6
Regulators and Other Industry Radios
6.1 Exchanges
6.2 Clearing houses
CHAPTER 7
The Legislative Environment and Rules Mapping
7.1 Rules mapping
7.2 Detailed rules mapping for your own firm
7.3 Rules mapping for an overseas jurisdiction
CHAPTER 8
Financial Products, Services and Documentation
8.1 Products and services
8.2 Understanding products and services in context
8.3 Documentation
CHAPTERS
Compliance Outside the Compliance Department
9.1 The Front Office
9.2 The Back Office and other support functions
CHAPTHHO
Key Compliance Department Activities
10.1 Routine activities
10.2 Off-Piste Compliance: advisory work
33
33
40
41
45
46
47
47
53
57
57
61
66
69
70
76
77
79
79
82
85
85
86
88
91
92
93
95
95
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
0 Compliance for Senior Management, the Sack Office and Other Support Departments 265
E Compliance Conundrums - What Would You Do? 291
PART TWO
COMPUANCE 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
|
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| isbn | 9781118906132 |
| language | English |
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| spelling | Mills, Annie Verfasser aut Essential strategies for financial services compliance Annie Mills ; Peter Haines 2. ed. Chichester [u.a.] Wiley 2015 XXIV, 372 S. Ill. txt rdacontent n rdamedia nc rdacarrier Haines, Peter Verfasser aut Erscheint auch als Online-Ausgabe 978-1-118-90618-7 Erscheint auch als Online-Ausgabe 978-1-118-90619-4 HBZ Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=027338495&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | Mills, Annie Haines, Peter Essential strategies for financial services compliance |
| title | Essential strategies for financial services compliance |
| title_auth | Essential strategies for financial services compliance |
| title_exact_search | Essential strategies for financial services compliance |
| title_full | Essential strategies for financial services compliance Annie Mills ; Peter Haines |
| title_fullStr | Essential strategies for financial services compliance Annie Mills ; Peter Haines |
| title_full_unstemmed | Essential strategies for financial services compliance Annie Mills ; Peter Haines |
| title_short | Essential strategies for financial services compliance |
| title_sort | essential strategies for financial services compliance |
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