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PRACTICAL TRAINING FOR COMPLIANCE OFFICERS AN ASSESSMENT

PRACTICAL TRAINING FOR COMPLIANCE OFFICERS AN ASSESSMENT 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. http://www.deepdyve.com/assets/images/DeepDyve-Logo-lg.png Journal of Financial Regulation and Compliance Emerald Publishing

PRACTICAL TRAINING FOR COMPLIANCE OFFICERS AN ASSESSMENT

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Publisher
Emerald Publishing
Copyright
Copyright © Emerald Group Publishing Limited
ISSN
1358-1988
DOI
10.1108/eb024749
Publisher site
See Article on Publisher Site

Abstract

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

Journal of Financial Regulation and ComplianceEmerald Publishing

Published: Jan 1, 1992

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