(Create Space Independent Publishing, 2017), by Tracey Calvert
Most lawyers will provide financial services to their clients. Make the wrong decision, or make a mistake, or be unable to explain what you have done, and there are legal and regulatory consequences for the individual and for the firm in which they are employed. This guide explains financial services regulation for lawyers and is essential reading for law firm compliance officers and compliance professionals. It delivers practical advice about the issues and compliance considerations.