Essential Strategies for Financial Services Compliance

Annie Mills 지음

Wiley 2011년 03월 10일 출간

작품소개

책소개

Compliance officers perform a vital, yet unpopular role in the business world as they advise on complying with myriad rules and regulations. What is good for compliance is sometimes seen as being bad for business, making a compliance officer's role a difficult one. Essential Strategies for Financial Services Compliance offers practical guidance on how to apply a regulatory requirement to day to day situations. It also shows how to communicate the compliance department?s activities to the rest of the firm, how the role fits within the organization as a whole, what the scope and limitation of their responsibilities are, what to do when things go wrong, and how to deal with unusual problems.

목차

ContentsPreface (or How Not to be an Execution Officer)AcknowledgementsList of AbbreviationsPART I: COMMENTARYAND CONTEXT1 The UK Regulatory Environment1.1 Different regulatory regimes in the UK1.2 The FSMA regime for investment business1.3 The UK's anti-money-laundering regime1.4 The UK's takeover regime2 The Compliance Function2.1 Compliance as a concept2.2 The Compliance Officer2.3 Compliance: good and bad2.4 The argument for Compliance&2.5 Compliance as a profession3 The Compliance Contract3.1 The Compliance Mission Statement3.2 The Compliance Charter4 Mapping Your Compliance Universe5 Mapping Your Corporate Universe5.1 Operating entities5.2 Business units5.3 External Service Providers6 Regulators and Other Industry Bodies6.1 Exchanges6.2 Clearing houses7 The Legislative Environment and Rules Mapping7.1 Rules mapping7.2 Detailed rules mapping for your own firm7.3 Mapping requirement for an overseas jurisdiction8 Financial Products, Services and Documentation8.1 Products and services8.2 Understanding products and services in context8.3 Documentation9 Compliance Outside the Compliance Department9.1 The Front office9.2 The Back office and other support functions10 Key Compliance Department Activities10.1 Routine activities10.2 Off Piste Compliance: advisory work10.3 Compliance conundrums11 Comply or Die - When Things go Wrong11.1 Someone's watching you11.2 The FSA has 'hot buttons'11.3 What the FSA can do to find out more11.4 What to do if you are being investigated or are subject to disciplinary action11.5 Consequences of rule breaches and other regulatory misdemeanoursAPPENDICESA Routine Compliance ActivitiesB Routine Anti-Money-Laundering ActivitiesC Compliance in the Front OfficeD Compliance for Senior Management, the Back Office and Other Support Departments<

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저자(글) Annie Mills