Essential Strategies for Financial Services Compliance

Essential Strategies for Financial Services Compliance

Author: Annie Mills

Publisher: John Wiley & Sons

ISBN: 9781118906132

Category: Business & Economics

Page: 400

View: 435

A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.

Essential Strategies for Financial Services Compliance

Essential Strategies for Financial Services Compliance

Author: Annie Mills

Publisher: John Wiley & Sons

ISBN: 9781118906187

Category: Business & Economics

Page: 400

View: 652

A fully updated edition of the definitive guide to financialregulation In recent years, not only has the compliance field become firmlyestablished, but it has seen staggering growth, thanks tonever-ending changes in the regulatory environment. As regulationincreases still further, the demand for clear guidance onnavigating daily compliance issues is greater than ever. Now in itssecond edition, the highly successful Essential Strategies forFinancial Services Compliance has been updated with the latestcompliance strategies and regulatory information, making itindispensable for compliance officers, legal firms, and anyone elseworking with the financial services compliance function. Non-compliance represents a significant material risk for anyfinancial services firm that fails to understand and appropriatelyapply regulatory standards. This Second Edition of EssentialStrategies for Financial Services Compliance makes it easy todigest complex information on the regulatory framework. But thisbook is far from solely theoretical. A balanced approach means thatboth the concepts and their application are within reach.Annie Mills and Peter Haines deliver solid advice that can beapplied on a day-to-day basis to manage any compliance issues thatmay arise. Read this book to: Understand the conceptual basis of compliance and the currentregulatory environment applicable to the financial servicesindustry Quickly and thoroughly learn the accepted best practices foreveryday compliance Get up to date information on the current financial regulatoryenvironment with this new edition Reference detailed advice as issues arise in day-to-dayoperations This update to the popular first edition of EssentialStrategies for Financial Services Compliance will helpeliminate non-compliance risk and ensure that your firm is entirelycurrent on its ability to navigate the maze of financial servicesregulation.

Risk Management, Strategic Thinking and Leadership in the Financial Services Industry

Risk Management, Strategic Thinking and Leadership in the Financial Services Industry

Author: Hasan Dinçer

Publisher: Springer

ISBN: 9783319471723

Category: Business & Economics

Page: 386

View: 518

This book presents a broad overview of risk management in the banking industry, with a special focus on strategic thinking and decision-making. It reveals the broader context behind decision models and approaches to risk management in the financial industry, linking the regulatory landscape for capital management and risk to strategic thinking, together with behavioral and cultural assessments.

Strategies for Compliance

Strategies for Compliance

Author: Alan Brener

Publisher: Routledge

ISBN: 0367337576

Category:

Page: 288

View: 638

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.

Advances Strategies for Financial Services Compliance

Advances Strategies for Financial Services Compliance

Author: Haines

Publisher:

ISBN: 1119358957

Category:

Page: 256

View: 396

The compliance function is vital to any financial services firm, protecting it from potentially severe legal, financial, and reputational risk. However, the regulatory environment is complex, and the correct course of action is not always clear. Human factors and ethical dilemmas further complicate matters, meaning that in practice, beyond ticking the boxes of basic regulatory compliance, officers must exercise discretion and judgement, taking a risk-based approach when making compliance decisions in more advanced areas. Advanced Strategies for Financial Services Compliance outlines the more advanced issues compliance officers are likely to face, including conflicts of interest, Chinese walls and above the wall conditions, conduct risk, market manipulation, bribery and corruption, and advanced anti-money laundering. The book then goes on to offer guidance on techniques and approaches for managing the compliance function and its relationships with internal and external stakeholders, including inherent quality of controls, handling relations with regulators, dealing with difficult people, reporting, and training. Throughout the book, points are illustrated with case studies from the author's extensive experience.

QFinance

QFinance

Author:

Publisher: A&C Black

ISBN: PSU:000067847853

Category: Business & Economics

Page: 2160

View: 892

An authoritative reference for financial professionals features coverage of key areas ranging from auditing and banking to insurance and investments, in a volume that includes checklists, biographies, summaries of key works, and quotations.

Strategies for Success

Strategies for Success

Author: Tanya McCartney

Publisher: Bookbaby

ISBN: 1543992757

Category: Business & Economics

Page: 92

View: 714

The role of the compliance professional in the financial services industry is of critical importance. It can make the difference between having a licence to facilitate business and being caught in a scandal which threatens the very survival of a firm. Financial instutions are mandated by law to have qualified persons serve in senior leadership positions such as the BSA Officer, Money Laundering Reporting and Compliance Officer. These roles require technical competence with a clear understanding of the law and regulations, company policy and procedures as well as global trends impacting the business. Equally important are the key leadership skills needed to succeed in such a role. Technical skills are simply not enough. A successful compliance professional is a leader who can build relationships, inspire a team and add value in the creation of a culture of compliance.This book is for persons who are in an anti-money laundering position, engaged in any way in the fight against financial crime or responsible for regulatory compliance. It is a practical guide for the compliance professional to aid in navigating the challenges which they face daily in risk management and mitigation. It is an effective resource that can be used when having to make difficult decisions or engaging in challenging conversations with colleagues. It should be your go-to when faced with a leadership challenge in your role.Sharpen your skills to perform roles and responsibilities as it relates to the compliance function. This resource is a useful and strategic guide for individuals wishing to enter the compliance field and those desiring to excel within the field. It answers the "how" in becoming a strong compliance leader and executing your mandate while cultivating the respect of your peers and those in the regulatory environment.

Financial Regulation and Technology

Financial Regulation and Technology

Author: Sheridan, Iain

Publisher: Edward Elgar Publishing

ISBN: 9781802205411

Category: Law

Page: 384

View: 654

This important book analyses recurring issues within financial services regulation relevant to the use of technology, at a time when competition is moving towards greater use of technology in the financial services sector. Iain Sheridan assumes no advanced knowledge of computers and related technology topics, but where necessary encapsulates the essential aspects to offer a comprehensive yet accessible guide to the regulation of finance and technology.

Legal Data for Banking

Legal Data for Banking

Author: Akber Datoo

Publisher: John Wiley & Sons

ISBN: 9781119357162

Category: Business & Economics

Page: 307

View: 464

A practical, informative guide to banks’ major weakness Legal Data for Banking defines the legal data domain in the context of financial institutions, and describes how banks can leverage these assets to optimise business lines and effectively manage risk. Legal data is at the heart of post-2009 regulatory reform, and practitioners need to deepen their grasp of legal data management in order to remain compliant with new rules focusing on transparency in trade and risk reporting. This book provides essential information for IT, project management and data governance leaders, with detailed discussion of current and best practices. Many banks are experiencing recurrent pain points related to legal data management issues, so clear explanations of the required processes, systems and strategic governance provide immediately-relevant relief. The recent financial crisis following the collapse of major banks had roots in poor risk data management, and the regulators’ unawareness of accumulated systemic risk stemming from contractual obligations between firms. To avoid repeating history, today’s banks must be proactive in legal data management; this book provides the critical knowledge practitioners need to put the necessary systems and practices in place. Learn how current legal data management practices are hurting banks Understand the systems, structures and strategies required to manage risk and optimise business lines Delve into the regulations surrounding risk aggregation, netting, collateral enforceability and more Gain practical insight on legal data technology, systems and migration The legal contracts between firms contain significant obligations that underpin the financial markets; failing to recognise these terms as valuable data assets means increased risk exposure and untapped business lines. Legal Data for Banking provides critical information for the banking industry, with actionable guidance for implementation.