Essential Strategies for Financial Services Compliance (PDF)

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.