Butterworths Financial Services Compliance Manual PDF (Adobe DRM) download by Neville Russell

Butterworths Financial Services Compliance Manual

Butterworth-Heinemann
Publication date: May 2014
ISBN: 9781483105819
Digital Book format: PDF (Adobe DRM)

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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.
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