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- Product code: 15817
- ISBN: 1898830711,
ISBN13: 9781898830719,
325 pages, paperback
Published by City & Financial Publishing on 2003
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Description of The IFA's Guide to the FSA Handbook, 3rd edition |
This new publication provides commentary and interpretation on key aspects of the FSA Handbook for the independent financial adviser (IFA), as well as for other professional advisers that fall under the FSA’s Designated Professional Body regime. It will be of particular benefit to those businesses that lack a dedicated compliance resource.
The book has been compiled by a team of leading IFA advisers, consultants and IFAs themselves to ensure that it provides comprehensive coverage and a single source solution to compliance related queries.
The guide includes sections covering the FSA’s requirements for high level standards, business standards, regulatory processes and the redress system. In addition, additional chapters have been included relating to subjects on which IFAs have requested information or guidance.
These include the Data Protection Act and OPRA regulation.
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Reviews“We at the FSA provide industry training and guidance but we also welcome initiatives from others designed to improve skills and knowledge within the industry and awareness of our main objectives. The Association of Independent Financial Advisers is well placed to develop a publication such as this and I warmly recommend the guide to IFAs and their advisers.”
John Tiner, Managing Director, Consumer, Investment and Insurance Directorate, FSA
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Contents of The IFA's Guide to the FSA Handbook, 3rd edition |
Foreword: John Tiner, FSA
Introduction: Fay Goddard, AIFA
High Level Standards - Patrick Storey of Grant Thornton
Business Standards
Interim Prudential Sourcebook - Mel Cook and Paul Flatley of Grant Thornton
Conduct Of Business Sourcebook - Jonathan Davies of Reynolds PorterChamberlain
Training & Competence - Phil Billingham of PB Associates
Money Laundering - Nicola Boulton of Dechert
Regulatory Processes Authorisation - Diane Mosley of Bond Pearce
Supervision - Steve Titley and Julian Korek of RSM Robson Rhodes
Enforcement - Phil Ryley of TLT Solicitors and John Virgo of Chambers
Redress
Dispute Resolution - Adam Samuel Consultant
Fees - Simon Williamson of Aspey Williamson
Data Protection Act - Caroline Egan of Hammond Suddards Edge
OPRA Regulations - Rachel Vahey of Scottish Equitable
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About Linda Chandler |
Consultant Editor: Linda Chandler, AIFA
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