Competence, Conduct, and Billion Dollar Consequences: How Regulatory Strategy and Relationships Can Improve Organisational Outcomes

ISBN-13: 9781032286761 / Angielski / Miękka / 2023 / 320 str.

Nigel P. Somerset

Opis

This practical guide to understanding how regulators build insight and form judgements will help organisations to develop their strategy and approach to engagement, and to improve their regulatory outcomes.This book is written for those who wish to build positive and progressive relationships with their regulators.

Spis treści

List of Figures Preface Route Map of the Book Acknowledgements About the Author 1. How Do Organisations Think About Regulatory Relationship Strategies? 2. A Framework For Building More Effective Relationships 3. The Role Of Trust In Regulatory Relationship Strategies 4. Foundations: Establishing Trust In What You Build 5. Navigation: Establishing Trust in Strategy, Culture, Leadership and Conduct 6. Outcomes: The Ecosystem Informing Regulatory Opinion 7. Engagement: The Practical Considerations When Interacting With Regulators 8. Pandemic Crisis: Relationships Matter! Conclusions: Surrounding Areas for Future Focus Appendix I – An Introduction To Regulatory Theory Bibliography Glossary Index

O autorze

Dr. Nigel Somerset is an independent consultant focused on transforming the performance, risk, and compliance of businesses. His experience includes accountability for leading portfolios valued in billions sterling through economic cycles including the Global Financial Crisis, shaping and influencing industry strategy, and supporting organisations and executives on regulatory matters spanning day-to-day supervision, regulatory challenge, through to sanction. Nigel also serves as executive in residence at the A.A.C.S.B.-accredited Sheffield Business School, is an Associate of The London Institute of Banking & Finance, and holds a D.B.A., M.B.A., and B.A. (Hons) Financial Services.