Other Operational Issues

  • Ross K. McGill
  • Terence A. Sheppey
Part of the Finance and Capital Markets Series book series (FCMS)


The biggest difficulty faced by both investors and their intermediaries is not cost. If the relative returns of investing in a particular market or markets are high enough, money will never be a problem. The problem is the on-the-ground operational day-to-day business of remaining compliant with multiple, overlapping regulatory requirements. Realizing the nature of the problem is followed closely by appropriate and ongoing training and retention of key strategic expertise. Most of the regulatory structures currently in existence, as well as most of those known to be in development, have one common thread—information. The requirement is its:
  • collection

  • accuracy

  • storage

  • protection

  • transfer limitations

  • use.


Financial Service Operational Risk Signature Alternative Account Holder Combine Code 
These keywords were added by machine and not by the authors. This process is experimental and the keywords may be updated as the learning algorithm improves.


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Copyright information

© Ross K. McGill and Terence A. Sheppey 2005

Authors and Affiliations

  • Ross K. McGill
    • 1
  • Terence A. Sheppey
    • 2
  1. 1.Bath UniversityEngland
  2. 2.Precision Texts LtdUK

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