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The purpose of this paper is to examine the attitudes of financial service compliance officers towards the provision of practical training in specific aspects of regulatory development, criminal law and procedure which have a significant impact upon their role and function as compliance officers. The paper starts by considering the qualifications of financial service compliance officers, before setting out the aims and contents of a threeday course designed for compliance officers. After describing the attendees on the course, it gives their assessment of the course and examines their attitudes to what is the proper role of the financial service compliance office.
Journal of Financial Regulation and Compliance – Emerald Publishing
Published: Jan 1, 1992
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