Essential Strategies for Financial Services Compliance, 2nd Edition

Table of contents

1. Cover
2. Praise for the First Edition
3. Title Page
4. Copyright
5. Acknowledgements
6. List of Abbreviations
7. Preface to the First Edition (Or, How Not to be an Execution Officer)
   1. 3.1 Compliance Officers are Great!!!
   2. 3.1 Scope, Coverage and Readership
   3. 3.2 Addendum from Peter
8. Foreword to the First Edition
9. Foreword to the Second Edition
10. Part One: Commentary and Context
    1. Chapter 1: The UK Regulatory Environment
       1. 1.1 Regulation in the UK
       2. 1.2 Different Regulatory Regimes in the UK
       3. 1.3 The FSMA Regime for Investment Business
       4. 1.4 The UK'S Anti-Money Laundering Regime
       5. 1.5 The UK'S Takeover Regime
       6. 1.6 Other UK Regulatory Regimes
    2. Chapter 2: The Compliance Function
       1. 2.1 Compliance as a Concept
       2. 2.2 The Compliance Officer
       3. 2.3 Compliance: Good and Bad
       4. 2.4 The Argument for Compliance
       5. 2.5 Compliance as a Profession
    3. Chapter 3: The Compliance Contract
       1. 3.1 The Compliance Mission Statement
       2. 3.2 The Compliance Charter
    4. Chapter 4: Mapping Your Compliance Universe
    5. Chapter 5: Mapping Your Corporate Universe
       1. 5.1 Operating Entities
       2. 5.2 Business Units
       3. 5.3 External Service Providers
    6. Chapter 6: Regulators and Other Industry Bodies
       1. 6.1 Exchanges
       2. 6.2 Clearing Houses
    7. Chapter 7: The Legislative Environment and Rules Mapping
       1. 7.1 Rules Mapping
       2. 7.2 Detailed Rules Mapping for Your Own Firm
       3. 7.3 Rules Mapping for an Overseas Jurisdiction
    8. Chapter 8: Financial Products, Services and Documentation
       1. 8.1 Products and Services
       2. 8.2 Understanding Products and Services in Context
       3. 8.3 Documentation
    9. Chapter 9: Compliance Outside the Compliance Department
       1. 9.1 The Front Office
       2. 9.2 The Back Office, Control and Other Support Functions
    10. Chapter 10: Key Compliance Department Activities
        1. 10.1 Routine Activities
        2. 10.2 Off-Piste Compliance: Advisory Work
        3. 10.3 Compliance Conundrums
        4. 10.4 Dealing With a Lack of Cooperation
    11. Chapter 11: Comply or Die – When Things go Wrong
        1. 11.1 Someone's Watching You
        2. 11.2 The Regulators have ‘Hot Buttons’
        3. 11.3 What the Regulators can do to Find Out More
        4. 11.4 What to do If You are being Investigated or are Subject to Disciplinary Action
        5. 11.5 Consequences of Rule Breaches and Other Regulatory Misdemeanours
11. Appendices
    1. Appendix A: Routine Compliance Activities
    2. Appendix B: Routine Anti-Money Laundering Activities
    3. Appendix C: Compliance in the Front Office
    4. Appendix D: Compliance for Senior Management, the Back Office and Other Support Departments
    5. Appendix E: Compliance Conundrums – What Would You Do?
12. Part Two: Compliance Perspectives
    1. Box 1: Acting on Principle
    2. Box 2: ARROW
    3. Box 3: Basel III and CRD IV
    4. Box 4: Extradition
    5. Box 5: Financial Services Action Plan
    6. Box 6: Going Global?
    7. Box 7: Industry Guidance
    8. Box 8: L&G V. the FSA – Who Were the Real Winners and Losers?
    9. Box 9: Markets in Financial Instruments Directive
    10. Box 10: Money Laundering Statistics
    11. Box 11: Prudential Regulation of Capital Adequacy
    12. Box 12: The Enforcement Process: Getting on the wrong side of the regulators
    13. Box 13: The Laundering Process
    14. Box 14: Treating Customers Fairly
13. Index
14. End User License Agreement