Strategies for compliance : tools, techniques and challenges in financial services / Alan Brener.
2021
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Items
Details
Author
Title
Strategies for compliance : tools, techniques and challenges in financial services / Alan Brener.
Imprint
Abingdon, Oxon ; New York, NY : Routledge, 2021.
Description
1 online resource
Formatted Contents Note
Introduction
A new approach to compliance and the lessons from Wells Fargo
Compliance and 'whistleblowing' and corporate psychology
Compliance and Regulators
Finding the right people and the key functions of the compliance organisation
The operational tools of compliance
'Culture' within a business: structural and psychological issues and the role of compliance
Training Corporate Organisations to be Compliant
Lessons for Compliance officers from Regulatory Enforcement: the UK experience
Lessons for Compliance officers from Regulatory enforcement actions and guidance: the US experience
Conclusion.
A new approach to compliance and the lessons from Wells Fargo
Compliance and 'whistleblowing' and corporate psychology
Compliance and Regulators
Finding the right people and the key functions of the compliance organisation
The operational tools of compliance
'Culture' within a business: structural and psychological issues and the role of compliance
Training Corporate Organisations to be Compliant
Lessons for Compliance officers from Regulatory Enforcement: the UK experience
Lessons for Compliance officers from Regulatory enforcement actions and guidance: the US experience
Conclusion.
Summary
"Compliance is a fundamental control function within regulated industries globally. This book provides an expert introduction to corporate compliance, using cases, examples and insights from the financial services sector and beyond. The author, an experienced compliance practitioner and academic, highlights compliance challenges, using examples such as Wells Fargo, whistleblowing in financial services, and the mis-selling of payment protection insurance in the UK banking sector. The book explores strategies for creating compliant cultures and fostering regulatory trust, whilst practical guidance is provided on anticipating regulatory changes. Addressing organisational obstruction and delay, the author presents a series of valuable tools and techniques for real world practice. An essential professional development resource for board directors, compliance officers and other senior managers, the book also provides a unique learning and development resource for students of corporate compliance globally"-- Provided by publisher.
Source of Description
OCLC-licensed vendor bibliographic record.
Location
www
Linked Resources
Alternate Title
Taylor & Francis Online
Language
English
ISBN
9780429321825 (ebook)
9781000320244 (electronic book : EPUB)
1000320243 (electronic book : EPUB)
9781000319699 (electronic book : PDF)
1000319695 (electronic book : PDF)
9781000320213 (electronic book : Mobipocket)
1000320219 (electronic book : Mobipocket)
9780367337742 (hardback)
9780367337575 (paperback)
0429321821
9781000320244 (electronic book : EPUB)
1000320243 (electronic book : EPUB)
9781000319699 (electronic book : PDF)
1000319695 (electronic book : PDF)
9781000320213 (electronic book : Mobipocket)
1000320219 (electronic book : Mobipocket)
9780367337742 (hardback)
9780367337575 (paperback)
0429321821
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