More than 56,000 financial businesses – from stockbrokers and independent financial advisers to portfolio managers and fund distributors – are authorised and regulated by the Financial Conduct Authority.
These firms vary widely in the activities they carry on and the types of clients they serve. What they all have in common is an obligation to comply with a comprehensive and sometimes complex financial regulatory framework.
This user-friendly book is for lawyers, compliance professionals and senior managers tasked with advising on or overseeing regulatory compliance for FCA-authorised firms. It offers succinct synopses of bedrock topics within FCA compliance, together with practical suggestions for firms seeking to construct a systematic compliance programme.
ABOUT THE AUTHOR
James Brilliant is a financial services regulatory lawyer and partner in an international asset management firm.
He has held senior legal and compliance positions in the financial sector since 2012. Before that, he was in private practice at Fred Philpott’s chambers in Gough Square and then law firm Shearman & Sterling.