Additional information
by Annie Mills (Author), Peter Haines (Author)
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.
Front Jacket
"This excellent book addresses an urgent need with authoritative advice. Compliance with financial regulation needs to be embedded into company culture. This book shows how it should be recognized as a fundamental part of strategic thinking: making compliance a strength rather than weakness; an opportunity rather than threat."
--David Craig, President of the global Financial and Risk business at Thomson Reuters
"Essential Strategies for Financial Services Compliance is a well drafted, insightful and essential text for Compliance staff. It demonstrates a practical and user friendly approach to the role of a Compliance professional providing good examples, templates and case studies. It has grasped many of the key issues around conduct, culture and compliance practice and is an ideal text for compliance students of this evolving dynamic discipline. The ICA recommends the book as a core text for its Compliance and GRC courses."
--Bill Howarth, Chief Executive Officer, International Compliance Association
"The updated Essential Strategies for Financial Services Compliance is fundamental reading for any budding Compliance Professional, and an excellent reference for those already 'treading the boards'. With the new responsibilities and accountabilities of Compliance Officers, and changes in regulators and their emphasis, the key areas mentioned are vital for any large organization's compliance department to adopt and maintain. Thoroughly recommended to anyone in a major financial services organization."
--Lee Werrell, Chartered FCSI FISMM, Author of Compliance Managers Guidebook & Reference
Back Jacket
"This excellent book addresses an urgent need with authoritative advice. Compliance with financial regulation needs to be embedded into company culture. This book shows how it should be recognized as a fundamental part of strategic thinking: making compliance a strength rather than weakness; an opportunity rather than threat."
--David Craig, President of the global Financial and Risk business at Thomson Reuters
"Essential Strategies for Financial Services Compliance is a well drafted, insightful and essential text for Compliance staff. It demonstrates a practical and user friendly approach to the role of a Compliance professional providing good examples, templates and case studies. It has grasped many of the key issues around conduct, culture and compliance practice and is an ideal text for compliance students of this evolving dynamic discipline. The ICA recommends the book as a core text for its Compliance and GRC courses."
--Bill Howarth, Chief Executive Officer, International Compliance Association
"The updated Essential Strategies for Financial Services Compliance is fundamental reading for any budding Compliance Professional, and an excellent reference for those already 'treading the boards'. With the new responsibilities and accountabilities of Compliance Officers, and changes in regulators and their emphasis, the key areas mentioned are vital for any large organization's compliance department to adopt and maintain. Thoroughly recommended to anyone in a major financial services organization."
--Lee Werrell, Chartered FCSI FISMM, Author of Compliance Managers Guidebook & Reference
Author Biography
ANNIE MILLS is an experienced compliance officer and has worked in many areas of investment management and banking compliance. She is currently Head of Compliance at Cantor Index & Cantor Fitzgerald Europe. Prior positions include Compliance Director (Internal Controls) at BGC Partners/Cantor Fitzgerald Group, and Senior Compliance Officer at Standard Bank.
PETER HAINES is a chartered accountant with experience as a regulator and as a senior Compliance Officer and Money Laundering Reporting Officer. He has been a consultant since 2006, advising banks and investment firms, initially on compliance issues, but increasingly on governance and risk as well. Peter travels widely in this role and has gained experience in various US, European and Asian financial centres. He is now a non-executive director with a UK bank, chairing its Audit, Risk and Compliance Committee, and a Visiting Fellow at the ICMA Centre, University of Reading and Henley Business School.
