Regulation and compliance in operations / David Loader.

Format:

Book

Author/Creator:

Loader, David.

Contributor:

Securities Institute.

Series:

Securities Institute Operations Management

Securities Institute operations management series

Language:

English

Subjects (All):

Securities industry--Law and legislation--Great Britain.

Securities industry.

Securities industry--Self-regulation--Great Britain.

Physical Description:

1 online resource (203 p.)

Edition:

1st edition

Place of Publication:

Amsterdam ; London : Elsevier, 2004.

Language Note:

English

System Details:

text file

Summary:

'Regulation and Compliance in Operations' looks at how regulation affects the operations function by focusing on regulatory issues and drivers. As regulatory demands ever increasing, it is important for operations teams to be aware of the important regulatory issues which exist globally. Like any other part of an organization in the financial services industry, operations has rules and regulations to comply with. Although many view regulation as being about rooting out rogue traders and controlling speculators, its role is much more profound than this, and without it many

Contents:

Front Cover; Regulation and Compliance in Operations; Copyright Page; Contents; Preface; Acknowledgements; Chapter 1. What is regulation?; Chapter 2. Regulation and compliance in different markets; Chapter 3. Compliance and operations; Chapter 4. Client protection in the retail markets; Chapter 5. Money laundering; Chapter 6. Fraud and insider dealing; Chapter 7. Operations and breaches of regulation; Chapter 8. The future of regulation; Appendix A. The principles; Appendix B. Global master securities lending agreement; Appendix C. Settlement procedures

Appendix D. Commodity Futures Modernization Act 2000Useful websites; Index

Notes:

Includes index.

ISBN:

9786612381317

9781282381315

1282381318

9780080516004

0080516009

OCLC:

213298446