City Limits: FCA Compliance for Financial Businesses | Barnes & Noble®

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By James Brilliant

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Overview

More than 56,000 financial businesses – from stockbrokers and independent financial advisers to portfolio managers and fund distributors – are authorised and regulated by the Financial Conduct Authority.

These firms vary widely in the activities they carry on and the types of clients they serve. What they all have in common is an obligation to comply with a comprehensive and sometimes complex financial regulatory framework.

This user-friendly book is for lawyers, compliance professionals and ...

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