Bank Regulation, Risk Management, and Compliance, Dill, Alexander

Автор: Kotz H David
Название: Financial Regulation and Compliance
ISBN: 111897221X ISBN-13(EAN): 9781118972212
Издательство: Wiley
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Цена: 40120.00 T
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Описание: Devise an organized, proactive approach to financial compliance Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities.

Автор: Niamh Moloney, Eilis Ferran, Jennifer Payne
Название: The Oxford handbook of financial regulation
ISBN: 019968720X ISBN-13(EAN): 9780199687206
Издательство: Oxford Academ
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Цена: 142560.00 T
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Описание: The Oxford Handbook of Financial Regulation is the first comprehensive, state of the art survey of the nature and function of financial regulation. Written by an international team of leading scholars in the field, it takes a contextual and comparative approach to examine scholarly, policy, and regulatory developments in the past three decades.

Автор: Dill, Alexander
Название: Bank Regulation, Risk Management, and Compliance
ISBN: 1138316261 ISBN-13(EAN): 9781138316263
Издательство: Taylor&Francis
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Цена: 30610.00 T
Наличие на складе: Нет в наличии.
Описание: Bank Regulation, Risk Management, and Compliance is a concise yet comprehensive treatment of the primary areas of US banking regulation – micro-prudential, macro-prudential, financial consumer protection, and AML/CFT regulation – and their associated risk management and compliance systems.

Автор: Dill, Alexander
Название: Bank Regulation, Risk Management, and Compliance
ISBN: 0367367491 ISBN-13(EAN): 9780367367497
Издательство: Taylor&Francis
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Цена: 148010.00 T
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Описание: Bank Regulation, Risk Management, and Compliance is a concise yet comprehensive treatment of the primary areas of US banking regulation - micro-prudential, macro-prudential, financial consumer protection, and AML/CFT regulation - and their associated risk management and compliance systems.

Автор: Stuart Bazley, Andrew Haynes
Название: Financial Services Regulation and Risk-based Compliance
ISBN: 152650197X ISBN-13(EAN): 9781526501974
Издательство: Bloomsbury Academic
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Цена: 100320.00 T
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Описание: Previously called Financial Services Authority Regulation and Risk-based Compliance, the third edition of Financial Services Regulation and Risk-based Compliance provides an analysis of the source and operation of risk-based compliance regulation in the UK Financial Services industry. With financial services regulation in the UK having undergone significant restructuring since the second edition with the introduction of the FCA and PRA to replace the FSA, this new edition has been extensively rewritten and restructured in response to these changes and covers: - the history of the development of financial services regulation; the nature and character of regulation; the regulatory reform following the financial crisis - relevant provisions in the Financial Services and Markets Act and an examination of the structural elements of the UK system of financial regulation - an analysis of the statutory framework for setting the regulator’s objectives and holding the PRA and FCA to account - international standard setting IOSCO and Basle; the long arm reach of US regulation; arrangements for cross border regulator cooperation - the regulatory regime for granting authorisation, obtaining , varying and removing business permissions; satisfying FSMA threshold conditions and the responsibility/liability for those that control authorised persons - the nature of risk in financial services; the relationship between capital and risk; risk assessments, capital requirements - how rules are made and their legal effect; rule interpretation, formal rules waivers; the rise of and impact of principles based obligations - PRA and FCA approach to authorised firm supervision; supervisory categories; information gathering and regulatory reporting - the regulatory requirement for systems and controls and its relationship with corporate governance; setting an appropriate control framework including three lines of defence models; the relationship between risk assessment and good governance - the compliance function and its regulatory obligations; the relationship between the compliance function, Risk function and Internal Audit - criminal offences as they apply to the financial sector together with obligations to establish and maintain money laundering systems and controls - The administrative and criminal law regimes relating to Market abuse including the regulation of Financial benchmarks - criminal offences as they apply to the financial sector together with obligations to establish and maintain appropriate systems and controls - analysis of the FCA’s role as UK Listing Authority - conduct risk and the regulation and control of customer facing activity along with analysis of the regulation and control of customer asset custody - analysis of the regulation and control of CIS and hedge funds - analysis of the law for authorisation and control of Recognised Investment Exchanges - the PRA and FCA Senior management and certified person regime for banks and insurers; the Approved Person regime; Training and Competence - personal responsibility together with administrative and criminal law liability for those persons that work in a Compliance Function including the Compliance Oversight office holder and Money Laundering Reporting Officer - handling customer complaints and the jurisdiction of FOS; regulatory obligations for handling of non FOS jurisdiction complaints - regulation by and duties to other bodies and agencies, the SFO, NCA, Financial Markets such as the LSE, the takeover panel and the professions including reference to the banking standards board - examination of why compliance breakdown may occur; the PRA and FCA statutory powers of investigation and enforcement - how might regulation and compliance develop, lessons from the past and emerging regulation Financial Services Regulation and Risk-based Compliance will help all organisations operating in this heavily regulated industry to accurately comply with their legal responsibilities.

Автор: Frankel Tamar
Название: Institutional Self-Regulation (Compliance)
ISBN: 1600422993 ISBN-13(EAN): 9781600422997
Издательство: Неизвестно
Цена: 91910.00 T
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Описание:

The duty of financial institutions to self-regulate their compliance with the law was triggered by relatively recent developments. Financial institutions (banks, mutual funds, securities exchanges and advisers) have grown larger and were operating internationally. Government and outside regulators could not effectively supervise and prevent institutional violations. The failures and violations of such institutions were costly to the country, to their employees and to their investors. The failures prompted legislators and regulators to require these institutions to self-regulate and self-police to prevent violation of the law.

The Law of Institutional Self-Regulation (Compliance) is addressed to law students and practitioners. It aims at understanding and managing a system of self-regulation by financial institutions by a dual system of both law and culture. To be sure, the law requires institutions to self-regulate. But rules of law are not enough. In fact, the main mechanism for self-regulation is institutional culture. Like law, culture is a system of rules and their enforcement. Unlike the law, culture rules are established and enforced by institutions, internally. Thus, both law and culture aim at ensuring institutional compliance with the law.

Even though most of the materials and cases in this book involve financial institutions, a similar design of self-regulation applies to any institution. Students and practitioners should be sensitive to signs that maylead to institutional violations of the law. They should note the signs of tendencies that may lead to violations of the law and focus on measures that are likely to prevent such violations.

This book notes the differences between the Law Officers and Compliance Officers, the evolving recognition of compliance as a profession, and the rise of compliance officers' independence. The book offers principles, approaches, and techniques, aimed at detecting and preventing institutions' legal violations such as, monitoring and investigations, employees' self-examination and rewarding employees for ensuring and supporting compliance with the law. To be sure, each institution, has its "parents," history, business, powers and weaknesses, aspirations and competitors. This is why institutional self-regulation cannot be uniform and its culture must be adjusted to the law in its own special way--to reach the same application of the law to all.

Автор: Anand, Anita.
Название: Systemic risk,institutional design, and the regulation of financial markets /
ISBN: 0198777620 ISBN-13(EAN): 9780198777625
Издательство: Oxford Academ
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Цена: 91870.00 T
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Описание: The Invaded explores the United States` military occupations of Nicaragua (1912-33), Haiti (1915-34), and the Dominican Republic (1916-24), proposing not only that opposition to U.S. intervention was more widespread than commonly acknowledged but that anti-imperial movements in the Caribbean basin were primarily responsible for bringing about the end of U.S. occupation.

Автор: Johan A. Lybeck
Название: The Future of Financial Regulation
ISBN: 1107106850 ISBN-13(EAN): 9781107106857
Издательство: Cambridge Academ
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Цена: 107710.00 T
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Описание: Johan A. Lybeck uses European and American case studies to review thirty bank resolutions from the last financial crisis and to outline the requirements for successful bank resolutions in the future. Via in-depth analysis of recent legislation, he emphasizes the need for taxpayer-funded bail-outs to create a viable banking system.

Автор: Patrick S. Kenadjian
Название: The Bank Recovery and Resolution Directive: Europe`s Solution for "Too Big To Fail "?
ISBN: 3110321076 ISBN-13(EAN): 9783110321074
Издательство: Walter de Gruyter
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Цена: 102830.00 T
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Описание: The volume is a collection of articles based on presentations given at a conference titled “The Crisis Management Directive – Europe’s Answer for Too Big to Fail?” hosted by the Institute for Law and Finance on May 3, 2012.

Автор: Lissa Broome, Jerry Markham
Название: Regulation of Bank Financial Service Activities: Selected Statutes and Regulations
ISBN: 1683281233 ISBN-13(EAN): 9781683281238
Издательство: Mare Nostrum (Eurospan)
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Цена: 62830.00 T
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Описание: Cntains the major chapters of title 12 of the United States Code covering the National Bank Act, the Federal Reserve Act, the Federal Deposit Insurance Corporation Act, the Home Owners Loan Act, the Federal Credit Union Act, the Bank Holding Company Act, the Bank Service Company Act, and the International Banking Act.

Автор: Lissa Broome, Jerry Markham
Название: Regulation of Bank Financial Service Activities, Cases and Materials
ISBN: 1683281225 ISBN-13(EAN): 9781683281221
Издательство: Mare Nostrum (Eurospan)
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Цена: 254100.00 T
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Описание: This book has been completely revised and updated, referencing Dodd-Frank and developments after Dodd-Frank. The financial crisis is extensively discussed, including excerpts from the Financial Crisis Inquiry Commission Final Report. The latest in capital requirements is also included. The statutory supplement has also been updated.

Автор: Danny Busch (Editor),
Название: Regulation of the EU financial markets :
ISBN: 0198767676 ISBN-13(EAN): 9780198767671
Издательство: Oxford Academ
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Цена: 327360.00 T
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Описание: A comprehensive reference guide to the Markets in Financial Instruments Directive II (MiFID II), combining theoretical and practical perspectives to cover all aspects of this important legislation.