compliance and regulation in the international financial services industry

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Compliance And Regulation In The International Financial Services Industry

Author : Patrick Callioni
ISBN : 1906403023
Genre : Business & Economics
File Size : 65. 47 MB
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This book provides detailed guidance for those responsible for designing and applying compliance regimes in companies.

Essential Strategies For Financial Services Compliance

Author : Annie Mills
ISBN : 9781119995159
Genre : Business & Economics
File Size : 75. 44 MB
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Compliance officers perform a vital, yet unpopular role in the business world as they advise on complying with myriad rules and regulations. What is good for compliance is sometimes seen as being bad for business, making a compliance officer's role a difficult one. Essential Strategies for Financial Services Compliance offers practical guidance on how to apply a regulatory requirement to day to day situations. It also shows how to communicate the compliance department?s activities to the rest of the firm, how the role fits within the organization as a whole, what the scope and limitation of their responsibilities are, what to do when things go wrong, and how to deal with unusual problems.

Financial Regulation And Compliance

Author : H. David Kotz
ISBN : 9781118972236
Genre : Business & Economics
File Size : 77. 7 MB
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Devise an organized, proactive approach to financial compliance Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities. Written by David Kotz, former Inspector General of the SEC with additional guidance provided by leading experts, this book is a one-stop resource for navigating the numerous regulations that have been enacted in response to the financial crisis. You'll learn how best to defend your organization from SEC, CFTC, FINRA, and NFA Enforcement actions, how to prepare for SEC, FINRA, and NFA regulatory examinations, how to manage the increasing volume of whistleblower complaints, how to efficiently and effectively investigate these complaints, and more. Detailed discussion of the regulatory process explains how aggressive you should be in confronting federal agencies and self-regulatory organizations and describes how commenting on issues that affect your business area can be productive or not. The companion website includes a glossary of terms, regulations and government guidance, relevant case law, research databases, and FAQs about various topics, giving you a complete solution for keeping abreast of evolving compliance issues. These days, compliance professionals are faced with a myriad of often overlapping regulatory challenges. Increased aggressiveness on the part of regulators has led to increased demand on financial firms, but this book provides clear insight into navigating the changes and building a more robust compliance function. Strengthen internal compliance and governance programs Manage whistleblower programs and conduct effective investigations Understand how to minimize exposure and liability from Enforcement actions Learn how to prepare for the different types of regulatory examinations Minimize exposure from FCPA violations Understand the pros and cons of commenting on regulations The volume and pace of regulatory change is causing new and diverse pressures on compliance professionals. Navigate the choppy waters successfully with the insider guidance in Financial Regulation and Compliance.

The Changing Face Of Compliance

Author : Sharon Ward
ISBN : 9781317039044
Genre : Business & Economics
File Size : 38. 93 MB
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In the current business climate the impact of the volume and nature of regulatory change and the regulatory risk arising from this is a significant business risk for regulated firms and regulators alike. As a consequence, management of this risk is increasingly high on the board agenda of regulated firms, with those business functions whose activities support this, such as Compliance, facing increasing levels of challenge in their efforts to be effective. The Changing Face of Compliance addresses core aspects of this challenge, considering the relationship between regulation and compliance and key influences on both, offering insight into the effectiveness of current approaches and addressing practical compliance challenges. Sharon Ward explains how the role of Compliance might be strengthened and those who work within it further enabled to support the current focus on improving standards in business, offering recommendations for enhancing this role. The text includes a mix of hands-on advice, examples and research based on the experiences of practitioners, educators and regulators drawn from across a wide range of jurisdictions and sectors. This is a thoughtful and timely book, whether you are concerned about the growing and changing implications of regulatory risk; the benefit of leveraging additional value from your Compliance function or your own Compliance role; or ways of transforming and sustaining the function to ensure its continued relevance to the business.

Financial Services Law And Compliance In Australia

Author : Gail Pearson
ISBN : 1139475894
Genre : Law
File Size : 29. 30 MB
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Up until the global credit crisis in 2008, 'Financial Services' was the fastest growing sector of the Australian economy. This growth has had profound implications for individuals, corporations and government. Following extensive review in the last part of the twentieth century, Australia put in place an overarching system for regulating all financial services, replacing a system that was based on separate regulation of products in individual industries. Focusing on the implications of the new system for retail clients - 'financial citizens' - Financial Services Law and Compliance in Australia provides a comprehensive account of the regulatory structure and a detailed analysis of the legislative framework, including discussion of the new regulatory bodies, the new licensing requirements for those wishing to enter the financial services market and the new obligations for those marketing or offering financial services to the public. This is an essential resource for those working in, and advising on, financial services, for students of financial services law, and for anyone needing to understand this new regime in Australia.

The Fundamental Principles Of Financial Regulation

Author : Markus Konrad Brunnermeier
ISBN : 0955700973
Genre : Business & Economics
File Size : 66. 25 MB
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"Today's financial regulatory systems assume that regulations which make individual banks safe also make the financial system safe. The eleventh Geneva Report on the World Economy shows that this thinking is flawed. Actions that banks take to make themselves safer can - in times of crisis - undermine the system's stability. The Report argues for a different approach."--P. xvi.

Financial Innovation Regulation And Crises In History

Author : Harold James
ISBN : 9781317317654
Genre : Business & Economics
File Size : 45. 67 MB
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With contributions from world-renowned figures such as Niall Ferguson and Adair Turner, this volume investigates how financial institutions and markets have undergone or reacted to past pressures, and the regulatory responses that emerged as a result.

Financial Services Law And Compliance In Australia

Author : Gail Pearson
ISBN : 9780521617840
Genre : Law
File Size : 67. 93 MB
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"'Financial services' is the fastest growing sector of the economy and has profound implications for individuals, corporations and government. Following extensive review in the last part of the twentieth century, Australia has now put in place an overarching system for regulating all financial services, replacing a system based on separate regulation of products in individual industries. Financial Services Law and Compliance in Australia provides a comprehensive account of the new regulatory structure and a detailed analysis of the new legislative framework, including discussion of the new regulatory bodies, the new licensing requirements for those wishing to enter the financial services market and the new obligations for those marketing or offering financial services to the public. This book is an essential resource for those working in, and advising on, financial services, students and those needing to understand the new regime as a whole."--Provided by publisher.

Financial Services Authority Regulation And Risk Based Compliance

Author : Stuart Bazley
ISBN : 1845922492
Genre : Law
File Size : 43. 7 MB
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Previously entitled Risk-Based Compliance, this unique guide to the role of risk-based Financial Services Authority (FSA) regulation compliance in the UK financial services industry has been fully updated and comprehensively rewritten. Focusing on the latest due diligence mechanisms, this specialist guide ensures financial services organizations can accurately and confidently comply with their legal responsibilities. The advice and information includes: operating a risk-based approach to regulation, FSA supervision of regulated firms, financial services and markets tribunals, the EU's Financial Services Action Plan, and the FSA Tribunal decisions.

Research Handbook On International Financial Crime

Author : Barry Rider
ISBN : 9781783475797
Genre : Law
File Size : 24. 41 MB
Format : PDF
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A significant proportion of serious crime is economically motivated. Almost all financial crimes will be either motivated by greed, or the desire to cover up misconduct. This Handbook addresses financial crimes such as fraud, corruption and money laundering, and highlights both the risks presented by these crimes, as well as their impact on the economy. The contributors cover the practical issues on the topic on a transnational level, both in terms of the crimes and the steps taken to control them. They place an emphasis on the prevention, disruption and control of financial crime. They discuss, in eight parts, the nature and characteristics of economic and financial crime, The enterprise of crime, business crime, the financial sector at risk, fraud, corruption, The proceeds of financial and economic crime, and enforcement and control. Academics interested in criminology, law, as well as business and legal studies students will find this book to be an invaluable resource. Practitioners, including lawyers, compliance and risk managements, law enforcement officers, and policy makers will also find the points raised to be of use.

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