Table of Contents: Regulation and compliance in operations /

Main Author:	Loader, David.
Format:	Book
Language:	English
Published:	Amsterdam ; London ; Boston : Elsevier Butterworth-Heinemann, 2004.
Series:	Elsevier finance
Subjects:	Securities industry > Law and legislation > Great Britain. Securities industry > Self-regulation > Great Britain. LAW > Administrative Law & Regulatory Practice. Securities industry > Law and legislation. Securities industry > Self-regulation. Finanças. Operação financeira. Great Britain.
Online Access:	http://search.ebscohost.com/login.aspx?direct=true&scope=site&db=nlebk&AN=104722

Table of Contents:

Preface; What is regulation?
the practical view; Regulation and compliance in different markets; Compliance and operations; Client protection; Money laundering; Fraud and insider dealing; Operations and breaches of regulations; The future; Appendices; Glossary.