The Handbook of Compliance

10 YEARS OLD THIS YEAR!
The Handbook of Compliance
   THE HANDBOOK OF COMPLIANCE
Over the 10 years since its publication in 1998 The Handbook of Compliance has established itself as the classic business text on compliance management.

This book, written by an experienced compliance professional, provides financial services executives, ethics and compliance officers with a comprehensive set of tools to help the firm meet the expectations of regulators, customers and counterparties alike.

This book sets out an integrated approach to managing compliance that will show you how to:

  • achieve compliance more efficiently by adopting a risk-based approach
  • identify whether your company culture supports or undermines ethics and compliance
  • design and deliver culture-building compliance training
  • get maximum value out of your monitoring programme
  • avoid delivering incomplete advice on the regulations
  • communicate effectively with senior management and the regulators
  • resolve issues quickly and satisfactorily
  • get the balance right between compliance costs and benefits.
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   Praise for The Handbook of Compliance
“The rulebooks tell you what to do (or not do), this book tells you why and how. There has been a need for a practical guide to compliance, which the regulators have not provided. Andrew Newton’s book fills this gap.” - Robin Clark, Head of Regulatory Affairs, AXA Investment Managers

“Compliance is the primer on a complex subject for both the lay and the expert reader. Clear, yet detailed in its analysis, it guides you through the new discipline.” - Gareth Adams, Director of Compliance, Fidelity Investments

“Compliance professionals need technical skills allied to sound judgement – Andrew Newton has clearly devoted considerable thought to the philosophy which must underpin any compliance practice.” - Margaret Chamberlain, Partner, Financial Services and Investment Funds Group, Travers Smith Braithwaite

“Every compliance officer will be able to pick up some tips from this refreshingly practical book.” - Peter Milroy, Financial Services Specialist Team, PricewaterhouseCoopers
About the author
Andrew Newton pictureAndrew Newton studied law at Nottingham University and was called to the bar in 1991. He spent his city career in compliance roles, lastly as Head of Compliance, HSBC Private Banking EMEA. During that time he obtained an MBA from London Business School and wrote “The Handbook of Compliance – Making Ethics Work in Financial Services” (Financial Times Prentice Hall, 1998).

Now Andrew is an independent writer, researcher and adviser on issues relating to corporate responsibility. He writes regularly for Ethical Corporation magazine, and is currently writing a new book on corporate social responsibility. Read his blog "The CSR Report" at apesphere.blogspot.com.