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City Limits: FCA Compliance for Financial Businesses 2nd Edition

City Limits: FCA Compliance for Financial Businesses 2nd Edition

City Limits: FCA Compliance for Financial Businesses 2nd Edition

Author: James Brilliant
Publisher: Law Brief Publishing
ISBN: 9781914608384

Previous Edition ISBN: 9781912687176
Published In: April 2022
Format: Paperback
Jurisdiction: U.K. ? Disclaimer:
Countri(es) stated herein are used as reference only

HKD 979.86

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Description
Contents

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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

Chapter One – Introduction

Chapter Two – Abbreviations

PART A – SUPERVISORY PROCESSES

Chapter Three – FCA Authorisation

Chapter Four – Senior Managers and Certification Regime

Chapter Five – Regulatory Supervision

Chapter Six – Enforcement

PART B – SYSTEMS & CONTROLS

Chapter Seven – Governance and Staff Organisational Requirements

Chapter Eight – Operational Infrastructure

Chapter Nine – Financial Controls

Chapter Ten – The Second and Third Lines of Defence

PART C – CONDUCT OF BUSINESS

Chapter Eleven – Treating Customers Fairly

Chapter Twelve – Website, Publicity and Marketing

Chapter Thirteen – Sector-Specific Regimes

Epilogue – On the Horizon

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