Managing the firm‐regulator relationship

Abstract

This paper sets out to examine, on an elemental basis, the key mechanisms and techniques which could be used to build up a management relationship with a firm's regulator. It is aimed at being both a reminder for the more seasoned hands and a guide for new starts. As with most subjects of this nature its purpose is to increase awareness of the importance of compliance and its various techniques for success.

Citation

McMurray, G. (1997), "Managing the firm‐regulator relationship", Journal of Financial Regulation and Compliance, Vol. 5 No. 4, pp. 327-330. https://doi.org/10.1108/eb024942