Strategies for Compliance: Tools, Techniques and Challenges in Financial Services

ISBN-13: 9780367337575 / Angielski / Miękka / 2020 / 264 str.

Alan Howard Brener

Opis

Compliance is a fundamental control function within regulated industries globally. This book, An essential resource for board directors, compliance officers and other senior managers, provides an expert introduction to corporate compliance, using cases, examples and insights from the financial services sector and beyond.

Spis treści

1. Introduction

2. A New Approach to Compliance and the Lessons from Wells Fargo

3. Compliance and ‘Whistleblowing’ and Corporate Psychology

4. Compliance and Regulators

5. Finding the Right People and the Key Functions of the Compliance Organisation

6. The Operational Tools of Compliance

7. ‘Culture’ within a Business: Structural and psychological issues and the role of compliance

8. Training Corporate Organisations to be Compliant

9. Lessons for Compliance Officers from Regulatory Enforcement: The UK experience

10. Lessons for Compliance Officers from Regulatory Enforcement Actions and Guidance: The US experience

11. Conclusion

Appendix: List of Abbreviations

Bibliography