Individual Conduct and Accountability: A Practical Guide for Financial Services Firms

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Individual Conduct and Accountability will give detailed and practical guidance for all types of financial institution concerning the new rules governing the conduct and behaviour of individuals, both approved and non-approved, which will come into force in 2015. This will include all aspects from obtaining approval through to supervision, enforcement and liability. Separate chapters will deal with different classes of individual, and the text will include checklists and case studies.