Skip to Main Content
Essential Strategies for Financial Services Compliance, 2nd Edition
book

Essential Strategies for Financial Services Compliance, 2nd Edition

by Annie Mills, Peter Haines
November 2015
Beginner content levelBeginner
400 pages
11h 51m
English
Wiley
Content preview from Essential Strategies for Financial Services Compliance, 2nd Edition

Appendix ECompliance Conundrums – What Would You Do?

This appendix consists of examples of the types of situation that occur regularly in the ‘real world’ which might leave you uncertain of how to proceed. Remember that the commentary provided is simply a guide on some of the key issues to consider, some of the most relevant legislative and regulatory provisions (based primarily on the UK environment) and some possible actions that you could take. It is not legal advice and should not be taken as definitive guidance on actions you should take if you ever find yourself in one of the situations described. You should adapt your responses to the specifics of your own firm's activities and customer base, and seek professional legal advice if required.

Conundrums index
Key issues Dilemma/s
Market abuse/market conduct 1, 4, 5, 6, 7, 8, 9, 10, 11, 13, 16, 17, 18, 26, 27, 32, 45, 46, 50, 51, 55, 58, 59, 60, 65, 68, 74
Client's best interest rule 1, 2, 3, 4, 6, 11, 20, 31, 39, 40, 41, 42, 49, 52, 53, 57, 69, 70, 72
Chinese walls 1, 7, 10, 13, 45, 47, 48, 50, 51, 55, 58, 60, 65
Suitability and appropriateness 2, 3, 4, 39, 40, 42, 57, 69
KYC 3, 15
Churning 4
Inducements 4, 20, 44, 53, 56, 70
Personal account dealing 5, 7, 8, 9, 16, 17, 18, 26, 46, 59, 67, 68, 73, 74
Insider lists 5, 7, 9, 10, 13, 16, 26, 32, 59, 60, 74
Watch and restricted lists 7, 9, 10, 14, 26, 32, 50, 59, 60
Conflicts of interest 10, 13, 14, 18, 19, 20, 21, 30, 44, 45, 47, 48, 53, 55, 56, 57, 58, 70, ...
Become an O’Reilly member and get unlimited access to this title plus top books and audiobooks from O’Reilly and nearly 200 top publishers, thousands of courses curated by job role, 150+ live events each month,
and much more.
Start your free trial

You might also like

A Guide to Financial Regulation for Fintech Entrepreneurs

A Guide to Financial Regulation for Fintech Entrepreneurs

Stefan Loesch

Publisher Resources

ISBN: 9781118906132Purchase book