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| Author | : Michael Blair QC |
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| Total Pages | : 0 |
| Release | : 2002 |
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| ISBN | : 9780406943323 |
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| Release | : 2002 |
| Genre | : Financial services industry |
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| Author | : Michael Blair QC |
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| Total Pages | : 0 |
| Release | : 2002 |
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| ISBN | : |
| Author | : Michael Blair QC |
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| Total Pages | : 0 |
| Release | : 2002 |
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| Author | : Barlow Lyde |
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| Total Pages | : 6000 |
| Release | : 2002-02-04 |
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| ISBN | : 9780406941305 |
This comprehensive looseleaf work covers the general principles and rules of financial regulation and also focuses on specific types of regulated business. Written by a team of well-known authors comprising practising lawyers, regulators and academics, Butterworths Financial Regulation Service provides detailed, authoritative analysis and clear, practical guidance on the UK financial regulatory system.The service is modular and is comprised of two core volumes (contained in four binders), covering general principles and rules, and five optional volumes, focusing on specific types of regulated business of which you choose those most relevant to your practice.These additional volumes can be purchased with the Main Set:Volume 3 - Investment Firms and Collective Investment SchemesVolume 4 - Credit InstitutionsVolume 5 - MarketsVolume 6 - Insurance, Lloyd's and Friendly SocietiesVolume 7 - Insurance Mediation and MortgagesSix updates per year.
| Author | : Sarah Kett |
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| Total Pages | : |
| Release | : 2002 |
| Genre | : Financial services industry |
| ISBN | : 9780406943347 |
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| Release | : 2002 |
| Genre | : Financial services industry |
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| Author | : Sarah Kett |
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| Total Pages | : |
| Release | : 2002 |
| Genre | : Financial services industry |
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| Author | : Sarah Kett |
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| Total Pages | : |
| Release | : 2002 |
| Genre | : Financial services industry |
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| Author | : Neville Russell |
| Publisher | : Butterworth-Heinemann |
| Total Pages | : 225 |
| Release | : 2014-05-23 |
| Genre | : Business & Economics |
| ISBN | : 1483105814 |
Butterworths Financial Services Compliance Manual provides a guide in implementing a form of internal control in accounting to ensure compliance with the Financial Services Act of 1986. The manual is organized into 11 parts; each part tackles a specific area of concern in the implementation of the Act. Part I covers the background of legislation and compliance procedures, and Part II discusses the importance of identifying a client. Part III talks about the conduct of business, while Part IV deals with corporate finance. The subsequent parts cover portfolio review and discretionary management. The book also covers client money regulation, and then discusses central records and control. Compliance role and complaints procedures are also discussed. The last part talks about advertising. The book will be of great use to accountants, who require references on standardized practice manual.
