Monitoring Compliance with Professional Guidance. A Discussion Paper prepared by the Compliance/Peer Review Working Party of the Professional Affairs Board

2000 ◽  
Vol 6 (2) ◽  
pp. 365-431
Keyword(s):  
Peer Review ◽  
Financial Services ◽  
Working Party ◽  
Professional Conduct ◽  
Discussion Paper ◽  
Professional Guidance

ABSTRACTThis is a discussion paper prepared by the Compliance/Peer Review Working Party of the Professional Affairs Board. It considers the monitoring of compliance with the professional conduct standard and guidance notes, how this is being done, and whether changes need to be made to the monitoring in the light of on-going changes to the regulation of financial services.

Monitoring Compliance with Professional Guidance Revisited. A Further Discussion Paper Prepared by the Compliance/Peer Review Working Party of the Professional Affairs Board

2001 ◽  
Vol 7 (2) ◽  
pp. 177-201
Keyword(s):  
Peer Review ◽  
Working Party ◽  
Discussion Paper ◽  
Professional Guidance ◽  
Relevant Work

ABSTRACTThis second paper from the Compliance/Peer Review Working Party of the Professional Affairs Board sets out the reasons for introducing peer review within the profession, and outlines the areas of professional difficulty identified. The main recommendation is that peer review by an actuary's colleagues in his firm should be carried out on all relevant work before presentation to the client (whether an internal or external client). The situations in which this practice would be mandatory are also set out and, initially, these will relate to mandatory guidance in practising certificate areas.

Professional Conduct and Practice

1973 ◽  
Vol 99 (2) ◽  
pp. 107-130
Author(s):  
H. F. Purchase
Keyword(s):  
Public Interest ◽  
Professional Services ◽  
General Effect ◽  
Professional Conduct ◽  
The Public ◽  
General Line ◽  
The Subject ◽  
Professional Guidance

The Council of the Institute has for some time thought it would be advisable that members should have the opportunity of discussing the difficult problems of professional conduct and practice at a sessional meeting, particularly since the report on the subject by the Monopolies Commission (A report on the general effect on the public interest of certain restrictive practices so far as they prevail in relation to the supply of professional services. Cmnd. 4463). Hence this present paper.Although the paper has been written by the present Chairman of the Institute's Professional Guidance Committee, and the main arguments are in general line with the views of that committee and of Council, the emphasis given to various points and the views on the detailed contents must be regarded as personal to the author.

Foundations for the LPC 2018-2019

2018 ◽  
Author(s):  
Clare Firth ◽  
Elizabeth Smart ◽  
Kathryn Wright ◽  
Lucy Crompton ◽  
Helen Fox ◽  
...  
Keyword(s):  
Human Rights ◽  
Financial Services ◽  
Worked Examples ◽  
Capital Gains ◽  
Core Material ◽  
Tax Revenue ◽  
Professional Conduct ◽  
Capital Gains Tax ◽  
Corporation Tax ◽  
Key Points

Foundations for the LPC covers the compulsory foundation areas of the Legal Practice Course as set out in the LPC Outcomes: Professional Conduct, Tax/Revenue Law, and Wills and Administration of Estates. The volume also features content on human rights law. The volume uses worked examples and scenarios throughout to illustrate key points. To aid understanding and test comprehension of the core material, checkpoints and summaries feature in every chapter. The book covers topics such as professional conduct (including financial services and money laundering), revenue law (including income tax, capital gains tax, VAT, corporation tax, and inheritance tax), wills and administration of estates, and issues related to human rights.

Foundations for the LPC 2020-2021

2020 ◽  
Author(s):  
Clare Firth ◽  
Elizabeth Smart ◽  
Lucy Crompton ◽  
Helen Fox ◽  
Frances Seabridge ◽  
...  
Keyword(s):  
Human Rights ◽  
Financial Services ◽  
Worked Examples ◽  
Capital Gains ◽  
Core Material ◽  
Professional Conduct ◽  
Capital Gains Tax ◽  
Human Rights Law ◽  
Corporation Tax ◽  
Key Points

Foundations for the LPC covers the areas of the Legal Practice Course as set out in the LPC Outcomes: Professional Conduct and Regulation, wills and administration of estates, and taxation. The volume also features content on human rights law. The volume uses worked examples and scenarios throughout to illustrate key points. To aid understanding and test comprehension of the core material, checkpoints and summaries feature in every chapter. The book covers topics such as professional conduct (including financial services and money laundering), revenue law (including income tax, capital gains tax, VAT, corporation tax, and inheritance tax), wills and administration of estates, and issues related to human rights.

Foundations for the LPC 2017-2018

2017 ◽  
Author(s):  
Clare Firth ◽  
Elizabeth Smart ◽  
Kathryn Wright ◽  
Lucy Crompton ◽  
Helen Fox ◽  
...  
Keyword(s):  
Human Rights ◽  
Financial Services ◽  
Worked Examples ◽  
Capital Gains ◽  
Core Material ◽  
Tax Revenue ◽  
Professional Conduct ◽  
Capital Gains Tax ◽  
Corporation Tax ◽  
Key Points

Foundations for the LPC covers the compulsory foundation areas of the Legal Practice Course as set out in the LPC Outcomes: Professional Conduct, Tax/Revenue Law, and Wills and Administration of Estates. The volume also features content on human rights law. The volume uses worked examples and scenarios throughout to illustrate key points. To aid understanding and test comprehension of the core material, checkpoints and summaries feature in every chapter. The book covers topics such as professional conduct (including financial services and money laundering), revenue law (including income tax, capital gains tax, VAT, corporation tax, and inheritance tax), wills and administration of estates, and issues related to human rights.

9. Mortgages

2018 ◽  
Author(s):  
Robert Abbey ◽  
Mark Richards
Keyword(s):  
Financial Services ◽  
Professional Conduct ◽  
Commercial Property ◽  
The Impact

This chapter deals with important issues arising in relation to a mortgage taken out by a client to assist in financing the purchase of a property. It looks at the most popular types of mortgage, the impact of the Financial Services and Markets Act 2000, and other matters, including important professional conduct issues. It also considers mortgages of leasehold property and mortgages of commercial property.

scholarly journals Reviewer Acknowledgements for International Journal of Statistics and Probability, Vol. 7, No. 2

2018 ◽  
Vol 7 (2) ◽  
pp. 108
Author(s):  
Wendy Smith
Keyword(s):  
Peer Review ◽  
Financial Services ◽  
Research Organization ◽  
University Of Kentucky ◽  
Statistics And Probability ◽  
University Of Technology ◽  
Industrial Research Organization ◽  
Science And Education

International Journal of Statistics and Probability wishes to acknowledge the following individuals for their assistance with peer review of manuscripts for this issue. Their help and contributions in maintaining the quality of the journal is greatly appreciated.Many authors, regardless of whether International Journal of Statistics and Probability publishes their work, appreciate the helpful feedback provided by the reviewers.Reviewers for Volume 7, Number 2 Bibi Abdelouahab, University Mentouri Constantine, AlgeriaCarolyn Huston, Commonwealth Scientific and Industrial Research Organization (CSIRO), AustraliaLuiz Ricardo Nakamura, University of Sao Paulo, BrazilMohieddine Rahmouni, University of Tunis, TunisiaPablo José Moya Fernández, Universidad de Granada, SpainPhilip Westgate, University of Kentucky, USASajid Ali, Quaid-i-Azam University, PakistanShatrunjai Pratap Singh, John Hancock Financial Services, USASubhradev Sen, Alliance University, IndiaTomás R. Cotos-Yáñez, University of Vigo, SpainVyacheslav Abramov, Swinburne University of Technology, Australia Wendy SmithOn behalf of,The Editorial Board of International Journal of Statistics and ProbabilityCanadian Center of Science and Education

Future Financial Regulation: An Actuary's View

1998 ◽  
Vol 4 (2) ◽  
pp. 145-191 ◽  
Author(s):  
A.S. Fishman ◽  
J.J. Daldorph ◽  
A.K. Gupta ◽  
T.W. Hewitson ◽  
M.R. Kipling ◽  
...  
Keyword(s):  
Financial Regulation ◽  
Self Regulation ◽  
Working Party ◽  
Regulatory Process ◽  
Theory And Practice ◽  
Insurance Companies ◽  
Discussion Paper ◽  
The United Kingdom ◽  
Key Issues ◽  
Building Societies

ABSTRACTThis discussion paper was produced by a Working Party in April 1997 to put forward some possible ways of improving the United Kingdom financial regulatory process. It was written to contribute to the expected post General Election debate on this topic. Although the new Government announced plans in May 1997 for a new Securities and Investment Board (SIB) with statutory powers, this has not reduced the value of this discussion paper which raises some wider issues on methods of regulation.The paper excludes the supervision and regulation of banks, building societies, insurance companies and exchanges and concentrates on areas that directly affect the public on an ongoing basis. It looks at the expectations of the main parties involved in regulation, the theory and practice of regulation, opportunities and concerns, and concludes with a summary of key issues for discussion. The thrust of the paper is that self regulation should be replaced by statutory regulation and that the present ‘prescriptive’ regulatory process should be replaced by one based on ‘outcomes’ supported by guidance.

A Review of Policyholders' Reasonable Expectations

2002 ◽  
Vol 8 (4) ◽  
pp. 705-728 ◽  
Author(s):  
M. Shelley ◽  
M. Arnold ◽  
P. D. Needleman
Keyword(s):  
Financial Services ◽  
Discussion Paper ◽  
The Past ◽  
The Future ◽  
Key Issues ◽  
Exercise Of Discretion

ABSTRACTIn the light of recent judgments by the courts, there are areas where the interpretation of Policyholders' Reasonable Expectations (PRE) by actuaries may need to be reassessed. Furthermore, the discussion paper on the exercise of discretion expected from the Financial Services Authority (FSA), as part of its review of with-profits business, is likely to raise wider issues.The time is therefore right for actuaries to have the opportunity to debate how PRE should be interpreted in the future. This paper is presented as a catalyst to enable that debate to happen, and the authors have set out their own views on some of the key issues.The paper discusses certain areas where the interpretation of PRE adopted by Appointed Actuaries in the past may no longer be consistent with recent court judgments. Following that discussion, the actuarial profession should attempt to establish a revised interpretation of PRE, in order to provide greater assistance to Appointed Actuaries currently advising on with-profits business.

Sign in / Sign up

Export Citation Format

Share Document