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Compliance Competence. Edition No. 1
VDM Publishing House, Dec 2008, Pages: 244
The work considers the nature of the regulatory
framework for life assurance companies before
enquiring into what is involved in the Financial
Services Authority’s (FSA) notion of a compliance
competent life assurance company. The analysis
utilises a case study approach supported by template
analysis.
The case study has revealed that in order for a life
assurance company to be compliance competent it
needs to benefit from three main inputs: good
compliance practice, good ethical practice and a
positive FSA relationship. The essential elements
can be brought together in a compliance competence
partnership approach model.
The work provides a valuable insight into compliance
competence for general practitioners operating
within the financial services sector and will be of
special interest to compliance professionals. It
contributes to the general academic literature
within the field of compliance.
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