We will be closed from 5pm Thursday 17th April for the Easter Bank Holidays, re-opening at 8.30am on Tuesday 22nd April. Any orders placed during this period will be processed when we re-open.
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:
