compliance and regulation in the international financial services industry

Download Book Compliance And Regulation In The International Financial Services Industry in PDF format. You can Read Online Compliance And Regulation In The International Financial Services Industry here in PDF, EPUB, Mobi or Docx formats.

Compliance And Regulation In The International Financial Services Industry

Author : Patrick Callioni
ISBN : UCSC:32106019851085
Genre : Business & Economics
File Size : 38. 96 MB
Format : PDF, ePub
Download : 930
Read : 1240

Get This Book


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 : 48. 27 MB
Format : PDF, Docs
Download : 234
Read : 903

Get This Book


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.

Regulating Modern International Financial Services Centres A Case Study Of Ireland And Caribbean Financial Services

Author :
ISBN : 9781434954886
Genre : Financial services industry
File Size : 39. 81 MB
Format : PDF, Docs
Download : 215
Read : 1042

Get This Book


A comparative study of Caribbean and European financial services sectors with emphasis on the Independent British Commonwealth Caribbean (IBCC) and the European financial services center of Ireland.

The Changing Face Of Compliance

Author : Sharon Ward
ISBN : 9781317039044
Genre : Business & Economics
File Size : 53. 34 MB
Format : PDF, Kindle
Download : 891
Read : 1288

Get This Book


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.

The Fintech Book

Author : Susanne Chishti
ISBN : 9781119218876
Genre : Business & Economics
File Size : 38. 84 MB
Format : PDF
Download : 122
Read : 408

Get This Book


"The reader will learn about key developments in the industry and obtain insights of cutting-edge practitioners whether entrepreneurs, investors, or advisors in the retail/commercial banking/investment banking and asset management space"--

The Foundations And Future Of Financial Regulation

Author : Mads Andenas
ISBN : 9781135043377
Genre : Law
File Size : 29. 18 MB
Format : PDF
Download : 828
Read : 968

Get This Book


Financial regulation has entered into a new era, as many foundational economic theories and policies supporting the existing infrastructure have been and are being questioned following the financial crisis. Goodhart et al’s seminal monograph "Financial Regulation: Why, How and Where Now?" (Routledge:1998) took stock of the extent of financial innovation and the maturity of the financial services industry at that time, and mapped out a new regulatory roadmap. This book offers a timely exploration of the "Why, How and Where Now" of financial regulation in the aftermath of the crisis in order to map out the future trajectory of financial regulation in an age where financial stability is being emphasised as a key regulatory objective. The book is split into four sections: the objectives and regulatory landscape of financial regulation; the regulatory regime for investor protection; the regulatory regime for financial institutional safety and soundness; and macro-prudential regulation. The discussion ranges from theoretical and policy perspectives to comprehensive and critical consideration of financial regulation in the specifics. The focus of the book is on the substantive regulation of the UK and the EU, as critical examination is made of the unravelling and the future of financial regulation with comparative insights offered where relevant especially from the US. Running throughout the book is consideration of the relationship between financial regulation, financial stability and the responsibility of various actors in governance. This book offers an important contribution to continuing reflections on the role of financial regulation, market discipline and corporate responsibility in the financial sector, and upon the roles of regulatory authorities, markets and firms in ensuring the financial health and security of all in the future.

Financial Regulation And Compliance

Author : H. David Kotz
ISBN : 9781118972236
Genre : Business & Economics
File Size : 62. 15 MB
Format : PDF, ePub
Download : 501
Read : 662

Get This Book


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.

Legal Aspects Of Combating Corruption The Case Of Zambia

Author :
ISBN : 9781621968856
Genre :
File Size : 67. 31 MB
Format : PDF, Kindle
Download : 255
Read : 1288

Get This Book



Financial Services Authority Regulation And Risk Based Compliance

Author : Stuart Bazley
ISBN : 1845922492
Genre : Law
File Size : 81. 21 MB
Format : PDF, ePub
Download : 413
Read : 343

Get This Book


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.

Financial Innovation Regulation And Crises In History

Author : Harold James
ISBN : 9781317317654
Genre : Business & Economics
File Size : 86. 77 MB
Format : PDF
Download : 884
Read : 830

Get This Book


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.

Top Download:

Best Books