Essential Strategies for Financial Services Compliance

by Annie Mills, Peter Haines

A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.

400 pages, Hardcover

First published July 1, 2008

Reviews

[Gareth Reeves]

The editor/s added a ton of unnecessary exclamation marks to the text, presumably to make the subject matter more accessible and less dry, but otherwise this was a reasonably useful resource when I needed it (for my investment compliance diploma). I hope the new edition has rectified previous editors' poor decision-making.

[Zahid Abdulla]

Essential book for all who work in Compliance function