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City Limits: FCA Compliance for Financial Businesses

By James Brilliant
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By James Brilliant
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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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LawBusiness, Commercial & Financial LawBusiness Law - General & Miscellaneous