Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to:

• Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry
• Quickly and thoroughly learn the accepted best practices for everyday compliance
• Get up to date information on the current financial regulatory environment with this new edition
• Reference detailed advice as issues arise in day-to-day operations

This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.