{"product_id":"essential-strategies-for-financial-services-compliance-9781118906132","title":"Essential Strategies for Financial Services","description":"\u003cb\u003eBook Synopsis\u003c\/b\u003e\u003cbr\u003e\u003cb\u003eA fully updated edition of the definitive guide to financial regulation\u003c\/b\u003e  \u003cp\u003eIn 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 \u003ci\u003eEssential Strategies for Financial Services Compliance\u003c\/i\u003e 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.\u003c\/p\u003e \u003cp\u003eNon-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of \u003ci\u003eEssential Strategies for Financial Services Compliance\u003c\/i\u003e makes it easy to digest complex inf\u003cbr\u003e\u003cbr\u003e\u003cb\u003eTable of Contents\u003c\/b\u003e\u003cbr\u003e\u003c\/p\u003e\u003cp\u003eAcknowledgements ix\u003c\/p\u003e \u003cp\u003eList of Abbreviations xi\u003c\/p\u003e \u003cp\u003ePreface (Or, How Not to be an Execution Officer) xvii\u003c\/p\u003e \u003cp\u003eForeword to the First Edition xxi\u003c\/p\u003e \u003cp\u003eForeword to the Second Edition xxiii\u003c\/p\u003e \u003cp\u003e\u003cb\u003ePart One Commentary and Context 1\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 1 The UK Regulatory Environment 3\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e1.1 Regulation in the UK 3\u003c\/p\u003e \u003cp\u003e1.2 Different regulatory regimes in the UK 5\u003c\/p\u003e \u003cp\u003e1.3 The FSMA regime for investment business 5\u003c\/p\u003e \u003cp\u003e1.4 The UK’s anti-money laundering regime 11\u003c\/p\u003e \u003cp\u003e1.5 The UK’s takeover regime 13\u003c\/p\u003e \u003cp\u003e1.6 Other UK regulatory regimes 13\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 2 The Compliance Function 15\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e2.1 Compliance as a concept 16\u003c\/p\u003e \u003cp\u003e2.1.1 What is Compliance? 16\u003c\/p\u003e \u003cp\u003e2.1.2 Who is responsible for Compliance? 19\u003c\/p\u003e \u003cp\u003e2.1.3 Different Compliance models 21\u003c\/p\u003e \u003cp\u003e2.2 The Compliance Officer 22\u003c\/p\u003e \u003cp\u003e2.2.1 Key responsibilities of the Compliance Officer 22\u003c\/p\u003e \u003cp\u003e2.2.2 What are the characteristics of a good Compliance Officer? 24\u003c\/p\u003e \u003cp\u003e2.3 Compliance: good and bad 26\u003c\/p\u003e \u003cp\u003e2.3.1 What are the characteristics of a good Compliance regime? 26\u003c\/p\u003e \u003cp\u003e2.3.2 What are the characteristics of a bad Compliance regime? 30\u003c\/p\u003e \u003cp\u003e2.3.3 Danger signals 32\u003c\/p\u003e \u003cp\u003e2.4 The argument for Compliance 33\u003c\/p\u003e \u003cp\u003e2.4.1 What are the benefits of Compliance, regulation and the Compliance Officer? 33\u003c\/p\u003e \u003cp\u003e2.4.2 What are the costs of Compliance? 40\u003c\/p\u003e \u003cp\u003e2.5 Compliance as a profession 41\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 3 The Compliance Contract 45\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e3.1 The Compliance Mission Statement 46\u003c\/p\u003e \u003cp\u003e3.2 The Compliance Charter 47\u003c\/p\u003e \u003cp\u003e3.2.1 Contents of a Compliance Charter 47\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 4 Mapping Your Compliance Universe 53\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 5 Mapping Your Corporate Universe 57\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e5.1 Operating entities 57\u003c\/p\u003e \u003cp\u003e5.2 Business units 61\u003c\/p\u003e \u003cp\u003e5.3 External Service Providers 66\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 6 Regulators and Other Industry Bodies 69\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e6.1 Exchanges 70\u003c\/p\u003e \u003cp\u003e6.2 Clearing houses 76\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 7 The Legislative Environment and Rules Mapping 77\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e7.1 Rules mapping 79\u003c\/p\u003e \u003cp\u003e7.2 Detailed rules mapping for your own firm 79\u003c\/p\u003e \u003cp\u003e7.3 Rules mapping for an overseas jurisdiction 82\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 8 Financial Products, Services and Documentation 85\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e8.1 Products and services 85\u003c\/p\u003e \u003cp\u003e8.2 Understanding products and services in context 86\u003c\/p\u003e \u003cp\u003e8.3 Documentation 88\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 9 Compliance Outside the Compliance Department 91\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e9.1 The Front Office 92\u003c\/p\u003e \u003cp\u003e9.2 The Back Office and other support functions 93\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 10 Key Compliance Department Activities 95\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e10.1 Routine activities 95\u003c\/p\u003e \u003cp\u003e10.2 Off-Piste Compliance: advisory work 96\u003c\/p\u003e \u003cp\u003e10.2.1 Understanding what it is all about 97\u003c\/p\u003e \u003cp\u003e10.2.2 What are the regulatory implications? 99\u003c\/p\u003e \u003cp\u003e10.2.3 Your plan of attack 105\u003c\/p\u003e \u003cp\u003e10.3 Compliance conundrums 107\u003c\/p\u003e \u003cp\u003e10.4 Dealing with a lack of cooperation 108\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 11 Comply or Die – When Things Go Wrong 111\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e11.1 Someone’s watching you 113\u003c\/p\u003e \u003cp\u003e11.2 The regulators have ‘hot buttons’ 118\u003c\/p\u003e \u003cp\u003e11.3 What the regulators can do to find out more 120\u003c\/p\u003e \u003cp\u003e11.4 What to do if you are being investigated or are subject to disciplinary action 122\u003c\/p\u003e \u003cp\u003e11.5 Consequences of rule breaches and other regulatory misdemeanours 124\u003c\/p\u003e \u003cp\u003e\u003cb\u003eAppendices\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eA Routine Compliance Activities 131\u003c\/p\u003e \u003cp\u003eB Routine Anti-Money Laundering Activities 207\u003c\/p\u003e \u003cp\u003eC Compliance in the Front Office 221\u003c\/p\u003e \u003cp\u003eD Compliance for Senior Management, the Back Office and Other Support Departments 265\u003c\/p\u003e \u003cp\u003eE Compliance Conundrums – What Would You Do? 291\u003c\/p\u003e \u003cp\u003e\u003cb\u003ePart Two Compliance Perspectives 333\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eBox 1: Acting on Principle 335\u003c\/p\u003e \u003cp\u003eBox 2: ARROW 339\u003c\/p\u003e \u003cp\u003eBox 3: Basel III and CRD IV 340\u003c\/p\u003e \u003cp\u003eBox 4: Extradition 342\u003c\/p\u003e \u003cp\u003eBox 5: Financial Services Action Plan 343\u003c\/p\u003e \u003cp\u003eBox 6: Going Global? 345\u003c\/p\u003e \u003cp\u003eBox 7: Industry Guidance 347\u003c\/p\u003e \u003cp\u003eBox 8: L\u0026amp;G v. the FSA – Who are the Real Winners and Losers? 349\u003c\/p\u003e \u003cp\u003eBox 9: Markets in Financial Instruments Directive 350\u003c\/p\u003e \u003cp\u003eBox 10: Money Laundering Statistics 353\u003c\/p\u003e \u003cp\u003eBox 11: Prudential Regulation of Capital Adequacy 354\u003c\/p\u003e \u003cp\u003eBox 12: The Enforcement Process – Getting on the Wrong Side of the Regulators 356\u003c\/p\u003e \u003cp\u003eBox 13: The Laundering Process 357\u003c\/p\u003e \u003cp\u003eBox 14: Treating Customers Fairly 358\u003c\/p\u003e \u003cp\u003eIndex 361\u003c\/p\u003e","brand":"John Wiley \u0026 Sons Inc","offers":[{"title":"Default Title","offer_id":49406944182615,"sku":"9781118906132","price":39.9,"currency_code":"GBP","in_stock":true}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/0817\/1739\/5799\/files\/9781118906132.jpg?v=1730497642","url":"https:\/\/bookcurl.com\/products\/essential-strategies-for-financial-services-compliance-9781118906132","provider":"Book Curl","version":"1.0","type":"link"}