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05555cam a2200589Ki 4500 |
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892066726 |
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OCoLC |
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20210116033400.2 |
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m o d |
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cr cnu---unuuu |
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141003s1988 enk o 000 0 eng d |
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|a 897645774
|a 907300623
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|a 9781483105819
|q (electronic bk.)
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|a 1483105814
|q (electronic bk.)
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|z 0406503745
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|z 9780406503749
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|a (OCoLC)892066726
|z (OCoLC)897645774
|z (OCoLC)907300623
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|a OPELS
|b eng
|e rda
|e pn
|c OPELS
|d N$T
|d E7B
|d YDXCP
|d EBLCP
|d IDEBK
|d DEBSZ
|d MERUC
|d OCLCQ
|d OCLCO
|d OCLCQ
|d UKAHL
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|a COM6
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|a KD1715
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|a LAW
|x 001000
|2 bisacsh
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|a 344.106/82
|2 22
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|a Butterworths financial services compliance manual /
|c Neville Russell.
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|a London :
|b Butterworths,
|c 1988.
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| 300 |
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|a 1 online resource (196 unnumbered pages)
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|a text
|b txt
|2 rdacontent.
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|a computer
|b c
|2 rdamedia.
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|a online resource
|b cr
|2 rdacarrier.
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|a 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.
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|a Print version record.
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|a Front Cover; Butterworths Financial Services Compliance Manual; Copyright Page; Table of Contents; Introduction; Institute of Chartered Accountants; Compliance within the firm; Compliance with the office; Compliance on the file; Using the manual; Categories of Authorisation; Part I: Background to legislation and compliance procedures; 1.1 Financial Services Act 1986; 1.2 The regulatory structure; 1.3 Role of Institute of Chartered Accountants; 1.4 Restrictions on type of investment; 1.5 Categories of authorisation; 1.6 Compliance organisation within the firm; 1.7 Authorisation of staff.
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|a 1.9 Insider dealingAppendix; A Extracts from Sch1 to FSA 1986; B Activities constituting investment business; C Excluded activities; Part II: Know your client; 2.1 The Investment file; 2.2 Financial summary; 2.3 Client's understanding of risk; 2.4 Letter of engagement; 2.5 Confidentiality; Appendices; A Confirmation of instruction letter; B Standard letter of engagement; C General risk disclosure statement; Part II: Limited Liability Transaction; D Additional risk disclosure statement; E Risk disclosure statement; F Stabilisation; Part III: Conduct of business; 3.1 General points on approach.
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|a 3.2 Stage 1 -- best advice3.3 Stage 2 -- instructions and transactions; 3.4 Stage 3 -- dealing with the finance; 3.5 Stage 4 -- commissions; 3.6 Stage 5 -- documents; 3.7 Stage 6 -- sign off procedures, billing; 3.8 Specific types of transactions; 3.9 Custodial investments; Part IV: Corporate finance; 4.1 Corporate finance activities; 4.2 Compliance procedures; Part V: Portfolio review; 5.1 Introduction; 5.2 Engagement letter; 5.3 Review procedures; Part VI: Discretionary management; 6.1 Introduction; 6.2 Discretionary Management Agreement; 6.3 Procedures; Part VII: Client money regulation.
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|a 7.1 Introduction7.2 Investment Business Client Bank Accounts; 7.3 Payments into Investment Business Client Bank Accounts; 7.4 Withdrawals from Investment Business Client Bank Accounts; 7.5 Accounting records relating to Client Accounts; 7.6 Monthly reconciliation; 7.7 Independent Accountant; Appendix: Extract from Financial Services (Chartered Accountants Client Money) Rules 1988; Part VIII: Central records and control; 8.1 Role of central registry; 8.2 Register of investment files; 8.3 lnvestment register; 8.4 Commission and fees register; 8.5 Client money controls; 8.6 Documents register.
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|a 8.7 Other central recordsPart IX: Compliance role; 9.1 Duties of Local Compliance Officer; 9.2 Annual Compliance Review; 9.3 Duties of Senior Compliance Officer; 9.4 Annual returns to Institute; Part X: Complaints procedures; 10.1 Internal action; 10.2 Action by Institute; Part XI: Advertising; 11.1 Cold calling; 11.2 Adverts; APPENDIX:; Notes on preparation of forms; Copies of all forms; The Investment File; Permanent File; Client Summary; Client Document Record; Client Commission Summary; Client Money Record; Financial Summary; Investment Proposals Record; Client Investment Record.
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| 650 |
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|a Financial institutions
|x Law and legislation
|z Great Britain.
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| 650 |
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7 |
|a LAW
|x Administrative Law & Regulatory Practice.
|2 bisacsh.
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| 650 |
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|a Financial institutions
|x Law and legislation.
|2 fast.
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| 651 |
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|a Great Britain.
|2 fast.
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|a Electronic books.
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| 710 |
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|a Neville Russell, Chartered Accountants.
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|i Print version:
|t Butterworths financial services compliance manual
|z 0406503745
|w (OCoLC)18834428.
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|a Loaded with m2btab.ltiac in 2021.04
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|w Elsevier
|1 .i13682299x
|u http://ezproxy.coloradomesa.edu/login?url=https://www.sciencedirect.com/science/book/9780406503749
|3 Elsevier
|z Click here for access
|