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:
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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.
