The Changing Function of Compliance

ISBN-13: 9781032555775 / Miękka / 2023 / 270 str.

Sharon Ward

Opis

In the current business climate, the pace of regulatory change is a significant business risk, and Compliance departments are under increasing pressure to keep up and adapt their organisations accordingly. This new edition updates what has become an indispensable guide to regulation compliance for regulated firms and regulators alike.

Recenzje

"Sharon Ward has produced a defining book for the function and role of the Compliance function in the twenty-first century. Since its development from an internal control department to a more influential advisory role, there has been a tumultuous process of scandal, business misconduct and regulatory response that is still ongoing. The debate as to the nature of its activities, influence and strategic value within organisations bears the hallmarks of the birth of a profession. Her book is as timely as it is instructive; it is an invaluable read to accompany any effort to understand the value and role of the Compliance function, and a must-read for practitioners and legislators alike."

Anthony Smith-Meyer, Editor-in-Chief, The Journal of Business Compliance, Adjunct Professor of International Management and Organisational Behaviour at Miami University, MUDEC Campus, Luxembourg, and Founder of TheGovernanceProject.org

Spis treści

Part I Compliance Context  1. Regulation and Risk  2. Influences and Influencers  3. Regulatory Risk Management  Part II Compliance Focus  4. The Compliance Environment  5. The Compliance Framework  6. Compliance Activities and Approach  Part III Compliance Development  7. Why Compliance Matters Now  8. Compliance Challenges  9. Enabling the Compliance Function  10. Conclusion

O autorze

Sharon Ward is an experienced regulatory compliance specialist. A compliance professional since the mid-1990s, Sharon is a former senior practitioner active in the development of professional education in this field throughout the past two decades, initially in her operational roles with the International Compliance Association and thereafter as its Chief Examiner (GRC). She has developed, taught on and written for a range of governance, risk and compliance-related programmes to Master’s level, both in the UK and internationally, contributing to key industry initiatives. Formerly Module Director for the Financial Services Compliance elective of the Chartered Banker MBA (CBMBA) and Editor of the Journal of Business Compliance, Sharon is a fellow of the ICA and of the Chartered Institute of Educational Assessors. Her work in this area continues through research, development projects, teaching and assessment.