‘FCA Compliance – A Practical Guide for SMEs’ by James Brilliant

Description

More than 50,000 businesses are authorised and regulated by the Financial Conduct Authority, but only a small number are deemed large enough to require proactive conduct supervision by the regulator. The vast majority are small and medium-sized enterprises – from stockbrokers and IFAs to fintech platforms and fund managers – which must comply all the same with a far-reaching and sometimes complex regulatory framework, but without the benefit of the FCA’s continuous assessment and feedback.

This book is for lawyers, compliance professionals and senior managers charged with advising on or overseeing the regulatory compliance of FCA-authorised SMEs. It is designed to provide a synoptic analysis of key topics within FCA compliance, together with practical suggestions for firms’ compliance programmes.

ABOUT THE AUTHOR

James Brilliant is a financial services regulatory lawyer. Formerly a barrister practising from Fred Philpott’s chambers, in 2007 he moved to international law firm Shearman & Sterling where he advised a range of financial institutions on the implementation of UK and EU regulatory requirements. These included the original MiFID as well as EMIR, AIFMD and other initiatives introduced in the wake of the financial crisis. In 2012 he joined investment bank Nomura as executive director and regulatory counsel. He has subsequently held several senior in-house legal and compliance positions in the asset management sector.