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PRACTICAL TRAINING FOR COMPLIANCE OFFICERS: AN ASSESSMENT

ROWAN BOSWORTH‐DAVIES (READ FOR THE BAR AT THE MIDDLE TEMPLE BEFORE BEING APPOINTED AS A SENIOR COURT CLERK IN THE INNER LONDON MAGISTRATES COURT SERVICE)

Journal of Financial Regulation and Compliance

ISSN: 1358-1988

Article publication date: 1 January 1992

Abstract

The purpose of this paper is to examine the attitudes of financial service compliance officers towards the provision of practical training in specific aspects of regulatory development, criminal law and procedure which have a significant impact upon their role and function as compliance officers. The paper starts by considering the qualifications of financial service compliance officers, before setting out the aims and contents of a three‐day course designed for compliance officers. After describing the attendees on the course, it gives their assessment of the course and examines their attitudes to what is the proper role of the financial service compliance office.

Citation

BOSWORTH‐DAVIES, R. (1992), "PRACTICAL TRAINING FOR COMPLIANCE OFFICERS: AN ASSESSMENT", Journal of Financial Regulation and Compliance, Vol. 1 No. 1, pp. 34-46. https://doi.org/10.1108/eb024749

Publisher

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MCB UP Ltd

Copyright © 1992, MCB UP Limited