Edwards, J. M., 2009. Compliance Competence: A Life Assurance Sector Case Study. Saarbrücken, Germany: VDM Verlag Dr. Müller Aktiengesellschaft & Co. KG.
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The work considers the nature of the regulatory framework for life assurance companies before enquiring into what is involved in the Financial Services Authority¿s (FSA) notion of a compliance competent life assurance company. The analysis utilises a case study approach supported by template analysis. The case study has revealed that in order for a life assurance company to be compliance competent it needs to benefit from three main inputs: good compliance practice, good ethical practice and a positive FSA relationship. The essential elements can be brought together in a compliance competence partnership approach model. The work provides a valuable insight into compliance competence for general practitioners operating within the financial services sector and will be of special interest to compliance professionals. It contributes to the general academic literature within the field of compliance.
|Number of Pages:||244|
|Subjects:||Social Sciences > Finance and Financial Economics|
|Group:||Business School > Centre for Finance and Risk|
|Deposited By:||Ms Emma Crowley|
|Deposited On:||05 Aug 2009 17:28|
|Last Modified:||07 Mar 2013 15:11|
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