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InhaltsangabeAcknowledgements List of Abbreviations Preface (Or, How Not to be an Execution Officer) Foreword PART I COMMENTARY AND CONTEXT 1 The UK Regulatory Environment 1.1 Regulation in the UK 1.2 Different regulatory regimes in the UK 1.3 The FSMA regime for investment business 1.4 The UK's anti-money laundering regime 1.5 The UK's takeover regime 1.6 Other UK regulatory regimes 2 The Compliance Function 2.1 Compliance as a concept 2.2 The Compliance Officer 2.3 The argument for Compliance 2.4 Compliance as a profession 2.5 Compliance: good and bad 3 The Compliance Contract 3.1 The Compliance Mission Statement 3.2 The Compliance Charter 4 Mapping Your Compliance Universe 5 Mapping Your Corporate Universe 5.1 Operating entities 5.2 Business units 5.3 External Service Providers 6 Regulators and Other Industry Bodies 6.1 Exchanges 6.2 Clearing houses 7 The Legislative Environment and Rules Mapping 7.1 Rules mapping 7.2 Detailed rules mapping for your own firm 7.3 Rules mapping for an overseas jurisdiction 8 Financial Products, Services and Documentation 8.1 Products and services 8.2 Understanding products and services in context 8.3 Documentation 9 Compliance Outside the Compliance Department 9.1 The Front office 9.2 The Back office and other support functions 10 Key Compliance Department Activities 10.1 Routine activities 10.2 Off Piste Compliance: advisory work 10.3 Compliance conundrums 10.4 Dealing with a lack of cooperation 11 Comply or Die - When Things go Wrong 11.1 Someone's watching you 11.2 The regulators have 'hot buttons' 11.3 What the regulators can do to find out more 11.4 What to do if you are being investigated or are subject to disciplinary action 11.5 Consequences of rule breaches and other regulatory misdemeanours APPENDICES A Routine Compliance Activities B Routine Anti-Money Laundering Activities C Compliance in the Front Office D Compliance for Senior Management, the Back Office and Other Support Departments E Compliance Conundrums - What Would You Do? PART II COMPLIANCE PERSPECTIVES Box 1: Acting on Principle Box 2: Regulators' Approaches to Risk Assessment Box 3: Basel III and CRD IV Box 4: Extradition Box 5: Financial Services Action Plan Box 6: Going Global? Box 7: Industry Guidance Box 8: L&G v. the FSA - Who are the real winners and losers? Box 9: Markets in Financial Instruments Directive Box 10: Money Laundering Statistics Box 11: Prudential Regulation of Capital Adequacy Box 12: The Enforcement Process - Getting on the wrong side of the regulators Box 13: The Lamfalussy Process Box 14: The Laundering Process Box 15: Treating Customers Fairly Index