Commentary and Context. The UK Regulatory Environment -- The Compliance Function -- The Compliance Contract -- Mapping Your Compliance Universe -- Mapping Your Corporate Universe -- Regulators and Other Industry Bodies -- The Legislative Environment and Rules Mapping -- Financial Products, Services and Documentation -- Compliance Outside the Compliance Department -- Key Compliance Department Activities -- Comply or Die : When Things go Wrong -- Routine Compliance Activities -- Routine Anti-Money Laundering Activities -- Compliance in the Front Office -- Compliance for Senior Management, the Back Office and Other Support Departments -- Compliance Conundrums : What Would You Do? -- Compliance Perspectives
Summary
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 th
