Compliance
Articles

Selected Articles

Remuneration Code Summary
FSA Handbook Summary
The Past and Future of Financial Regulation in the UK (June 2010)
MiFID Rules for Best Execution (May 2007)
Slideshow - "E-compliance" Developing Effective Procedures for Monitoring Websites (Infoline Conference - September 2000)
A Practical Approach to the Regulation of Investment Business Conducted over the Internet (Published in the Compliance Institute Gazette and the Compliance Digest - February 2000)
Slideshow - Maximising the Efficiency of the Compliance Function (ICM Conference - November 1999)
Slideshow - Effective Compliance Monitoring (IBC Conference - November 1996)
Suggested content for a Regulator's Website (September 1996)
Suggested content for an Investment Firm's Website (May 1996)