The Handbook of Compliance [Paperback]Making Ethics Work in Financial Servicesby Andrew Newton
PRINT ON DEMAND Description of The Handbook of ComplianceCompliance is one of the fastest growing professions in the financial services industry. This book tackles the issues in a practical and down-to-earth way.This book, written by an experienced compliance professional, aims to provide officers with a comprehensive and accessible range of information, plus guidance on technique, to assist them in the implementation of their role within their businesses. Those new to the profession are provided with a mini-training programme covering all key aspects, whilst experienced compliance professionals will benefit from the practical approaches to culture and the implementation of a risk-based approach. Also included is the Rules Navigator, a uniquely comprehensive and innovatively organized 'roadmap' of the main areas of obligations affecting financial services businesses. This book sets out an integrated approach to managing compliance that will show you how to:
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Write a review of this book Customer Reviews from AmazonContents of The Handbook of CompliancePart One - Setting The Scene1. The regulatory framework 2. The regulators 3. Regulatory obligations Part Two - Managing Compliance 4. The compliance function 5. Getting the culture right 6. Compliance training 7. Advising the business 8. Compliance monitoring 9. Communication 10. Handling Issues 11. Balancing costs and benefits Part Three - Resources Regulator profiles Rules navigator Summary of regulators' complaint handling arrangements Further resources for compliance professionals |
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