Coping with the FSA’s risk-based approach

Journal of Financial Regulation and Compliance

Volumn 13, Issue 1, 2005, Pages 43-47

  Stewart, Sam ^a  

^a State Street Global Advisors ^*  (United Kingdom)

Author keywords

Basel; FSA; FSMA 2000; Principles for good regulation; Risk mitigation programme; Risk based regulation

Indexed keywords

EID: 80052364677     PISSN: 13581988     EISSN: 17400279     Source Type: Journal    
DOI: 10.1108/13581980510622036     Document Type: Article

References (8)

1. FSA (2000) ‘A new regulator for the new millennium’, January.
2. FSA (2003) ‘The firm risk assessment framework’, February.
3. International Organisation of Securities Commissions (2002) ‘Objectives and Principles of Securities Regulation’, February.
4. Basel Committee on Banking Supervision (2004) ‘Implementation of Basel II: Practical considerations’, July.
5. Part 1, Section 2, Financial Services and Markets Act 2000.
6. Sants, H. (2004) ‘FSA’s outlook on asset management risks, priorities and challenges’, FSA’s Asset Management Conference, London, 28th September.
7. www.fsa.gov.uk/approach/1_bnr.hmtl
8. FSA (2003) ‘The firm risk assessment framework’, February.