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

Автор: Ball, Laurence M.
Название: Fed and lehman brothers
ISBN: 1108420966 ISBN-13(EAN): 9781108420969
Издательство: Cambridge Education
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Цена: 22170.00 T
Наличие на складе: Есть у поставщика Поставка под заказ.
Описание: This book will interest scholars and practitioners in economics, finance, accounting and law; all areas in which the Lehman bankruptcy has been a major controversy. It will also appeal to a broad audience who care about the causes of the financial crisis and the role of the Federal Reserve`s leaders.

Автор: Cary Coglianese
Название: Regulatory Breakdown: The Crisis of Confidence in U.S. Regulation
ISBN: 0812244605 ISBN-13(EAN): 9780812244601
Издательство: Wiley EDC
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Цена: 66350.00 T
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Описание:

Regulatory Breakdown: The Crisis of Confidence in U.S. Regulation brings fresh insight and analytic rigor to what has become one of the most contested domains of American domestic politics. Critics from the left blame lax regulation for the housing meltdown and financial crisis—not to mention major public health disasters ranging from the Gulf Coast oil spill to the Upper Big Branch Mine explosion. At the same time, critics on the right disparage an excessively strict and costly regulatory system for hampering economic recovery. With such polarized accounts of regulation and its performance, the nation needs now more than ever the kind of dispassionate, rigorous scholarship found in this book.
With chapters written by some of the nation's foremost economists, political scientists, and legal scholars, Regulatory Breakdown brings clarity to the heated debate over regulation by dissecting the disparate causes of the current crisis as well as analyzing promising solutions to what ails the U.S. regulatory system. This volume shows policymakers, researchers, and the public why they need to question conventional wisdom about regulation—whether from the left or the right—and demonstrates the value of undertaking systematic analysis before adopting policy reforms in the wake of disaster.

Автор: Katrin Kanzenbach
Название: The Model of the Corporate Compliance Officer
ISBN: 3631798210 ISBN-13(EAN): 9783631798218
Издательство: Peter Lang
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Цена: 106840.00 T
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The book introduces the model of the corporate compliance officer under US, UK and German law and practice. It aims to analyze the compliance function within private sector companies in the three selected jurisdictions in order to present a model of the German Compliance Officer. There is little uniformity and standardization of the German compliance function outside the banking sector. It has been recognized that a generally applicable definition of the compliance function is as yet absent. There is a need for a generally applicable definition and a modern understanding of the role of the compliance officer. This is why this book is intended to bridge the gap in knowledge concerning the applicable legal standards required to ensure the effectiveness of this position. As such, it may be useful to examine the legal environment of the compliance function outside of the German framework and to explore the professional status and role of the corporate compliance officer in other countries, such as in the US and the UK.

Автор: C. King Chanetsa
Название: Securities and Capital Markets Regulation in South Africa: A Contemporary View
ISBN: 9004395881 ISBN-13(EAN): 9789004395886
Издательство: Brill
Цена: 92980.00 T
Наличие на складе: Нет в наличии.
Описание: An effective capital markets industry has existed in South Africa for over 120 years. As recently as 2015, South Africa was considered the best regulator of securities in the world. The fall out from the GFC contained lessons for all markets, but not to the same extent. In the pursuit of G20 inspired conformity, aspects of the South African reform agenda may therefore appear replicative of initiatives in other jurisdictions and, consequently, uncritical in parts. In light of the fall to forty sixth place in the world in securities regulation ranking and some uncertainty in respect of the extent and shape of the reform process, C. King Chanetsa reviews activities in South Africa along the busy securities and capital markets value chain, and considers the continuing and emerging regulatory and supervisory framework.

Автор: Jr., William N. Eskridge Brudney, James J. Chafetz, Josh Frickey, Philip P. Garrett, Elizabeth
Название: Cases and materials on legislation and regulation
ISBN: 1683281837 ISBN-13(EAN): 9781683281832
Издательство: Mare Nostrum (Eurospan)
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Цена: 253170.00 T
Наличие на складе: Нет в наличии.
Описание: Offers a comprehensive and up-to-date introduction to the vital field of legislation and regulation. This volume addresses efforts by President Trump to curtail the powers of the administrative state, and new Supreme Court decisions reviewing challenges to these efforts under the Constitution and the Administrative Procedure Act.

Автор: Pintauro, Stephen J.
Название: Regulation of dietary supplements
ISBN: 0367901943 ISBN-13(EAN): 9780367901943
Издательство: Taylor&Francis
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Цена: 48990.00 T
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Описание: This book documents the long and still ongoing battle between the US Food and Drug Administration (FDA) and the dietary supplement industry. It presents the complex, often subtle, and sometimes overlooked series of events that had such a major impact on how dietary supplements are manufactured, marketed, advertised, sold, and used today.

Автор: Dill, Alexander
Название: Bank Regulation, Risk Management, and Compliance
ISBN: 1138316253 ISBN-13(EAN): 9781138316256
Издательство: Taylor&Francis
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Цена: 112290.00 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: 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: 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
Наличие на складе: Невозможна поставка.
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
Наличие на складе: Есть у поставщика Поставка под заказ.
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: Christian D Macalpine, Manuel R Caasi
Название: State & Local Government Pension Plans: Regulation & Risk
ISBN: 1614701210 ISBN-13(EAN): 9781614701217
Издательство: Nova Science
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Цена: 142550.00 T
Наличие на складе: Невозможна поставка.
Описание: During World War II, Academy Award-winning director Frank Capra made propaganda films for the U.S. Government, such as Prelude to War, The Nazis Strike, The Battle of Britain, War Comes to America and The Negro Soldier. This analyses the cinematic and thematic techniques Capra employed in these films, linking them to the techniques and ideology of the director`s popular mainstream narrative films.

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
Наличие на складе: Есть у поставщика Поставка под заказ.
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.