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FCA Compliance for Financial Businesses - 2nd Edition

James Brilliant

$245.95 $196.78

Paperback

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English

Law Brief Publishing
12 April 2022

Summary
Details

More than 56,000 financial businesses - from stockbrokers and independent financial advisors to credit card companies and hedge fund managers - are authorised and regulated by the Financial Conduct Authority.

These firms vary widely in the activities they carry on and the types of clients they serve. What they all have in common is an obligation to comply with an extensive and sometimes complex financial regulatory framework.

This user-friendly book is for lawyers, compliance professionals and senior managers tasked with advising on or overseeing regulatory compliance for FCA-authorised firms. It offers succinct synopses of bedrock topics within FCA compliance, covering supervisory processes, a firm's systems and controls, and conduct of business.

New in the second edition:

Senior Managers and Certification Regime MIFIDPRU prudential framework Covid-19 regulatory intervention Onshored versions of EU-derived laws and regulations

ABOUT THE AUTHOR

James Brilliant is a financial services regulatory lawyer and partner in an international asset management firm. He has held senior legal and compliance positions in the financial sector since 2012. Before that, he was in private practice at Fred Philpott's chambers in Gough Square and then law firms Shearman & Sterling and Kirkland & Ellis.

By: James Brilliant
Imprint: Law Brief Publishing
Country of Publication: United Kingdom
Dimensions: Height: 234mm, Width: 156mm, Spine: 15mm
Weight: 386g
ISBN: 9781914608384
ISBN 10: 1914608380
Pages: 274
Publication Date: 12 April 2022
Audience: General/trade , ELT Advanced
Format: Paperback
Publisher's Status: Active