THE GOLDEN THREADS OF COMPLIANCE

Abstract

This paper provides a guide to a number of key areas of compliance for product providers and independent financial advisers. These include ensuring high standards of recruitment, sound reporting lines and a properly resourced compliance function and it indicates a number of ‘amber lights’ which may indicate potential problem areas. Finally, the paper suggests various ways in which organisations can check that they are complying properly and ensure they keep abreast of current regulatory developments.

Citation

BRENER, A. (1995), "THE GOLDEN THREADS OF COMPLIANCE", Journal of Financial Regulation and Compliance, Vol. 3 No. 4, pp. 344-349. https://doi.org/10.1108/eb024856