Butterworths Financial Services Compliance Manual - 1st Edition - ISBN: 9780406503749, 9781483105819

Butterworths Financial Services Compliance Manual

1st Edition

Authors: Neville Russell
eBook ISBN: 9781483105819
Imprint: Butterworth-Heinemann
Published Date: 1st January 1984
Page Count: 224
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Butterworths Financial Services Compliance Manual provides a guide in implementing a form of internal control in accounting to ensure compliance with the Financial Services Act of 1986. The manual is organized into 11 parts; each part tackles a specific area of concern in the implementation of the Act. Part I covers the background of legislation and compliance procedures, and Part II discusses the importance of identifying a client. Part III talks about the conduct of business, while Part IV deals with corporate finance. The subsequent parts cover portfolio review and discretionary management. The book also covers client money regulation, and then discusses central records and control. Compliance role and complaints procedures are also discussed. The last part talks about advertising. The book will be of great use to accountants, who require references on standardized practice manual.

Table of Contents


Part 1 Background to Legislation and Compliance Procedures

Part 2 Know your Client

Part 3 Conduct of Business

Part 4 Corporate Finance

Part 5 Portfolio Review

Part 6 Discretionary Management

Part 7 Client Money Regulation

Part 8 Central Records and Control

Part 9 Compliance Role

Part 10 Complaints Procedures

Part 11 Advertising

Appendix Forms


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© Butterworth-Heinemann 1988
eBook ISBN:

About the Author

Neville Russell

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