Compliance officers are those specifically employed in financial services companies to ensure compliance with the legal requirements imposed by the Financial Services Act 1986, and other relevant legislation. This paper discusses the perceptions of a sample group of compliance officers of the relative seriousness of specific criminal acts involving dishonesty and the implications for the effective regulation of the financial services industry. The data were gathered during research for the degree of Master of Arts in Police Studies at the University of Exeter.
Journal of Financial Crime – Emerald Publishing
Published: Mar 1, 1993