Gearing up for the FSA regime

Abstract

This paper considers the steps which an authorised firm should be taking to prepare for the requirements of the FSA. While neither the details of the regulatory regime, nor the new rules themselves, have been published, the FSA's concerns are clear enough. Its focus will be on the achievement of high compliance standards, the creation of a robust control environment and the discharge of managerial responsibility. The paper goes on to consider the operational areas upon which FSA is likely to focus, and its requirements for an effective compliance system.

Citation

Morris, S. (1998), "Gearing up for the FSA regime", Journal of Financial Regulation and Compliance, Vol. 6 No. 4, pp. 365-370. https://doi.org/10.1108/eb024987