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 to:
* Understand the conceptual basis of compliance and the current
regulatory environment applicable to the financial services
industry
* Quickly and thoroughly learn the accepted best practices for
everyday compliance
* Get up to date information on the current financial regulatory
environment with this new edition
* Reference detailed advice as issues arise in day-to-day
operations
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.
Circa l’autore
ANNIE MILLS is an experienced compliance officer and has worked in many areas of investment management and banking compliance. She is currently Head of Compliance at Cantor Index & Cantor Fitzgerald Europe. Prior positions include Compliance Director (Internal Controls) at BGC Partners/Cantor Fitzgerald Group, and Senior Compliance Officer at Standard Bank.
PETER HAINES is a chartered accountant with experience as a regulator and as a senior Compliance Officer and Money Laundering Reporting Officer. He has been a consultant since 2006, advising banks and investment firms, initially on compliance issues, but increasingly on governance and risk as well. Peter travels widely in this role and has gained experience in various US, European and Asian financial centres. He is now a non-executive director with a UK bank, chairing its Audit, Risk and Compliance Committee, and a Visiting Fellow at the ICMA Centre, University of Reading and Henley Business School.
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