Essential Strategies For Financial Services Compliance

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Essential Strategies for Financial Services Compliance

Author : Annie Mills
Publisher : John Wiley & Sons
ISBN 13 : 1118906195
Total Pages : 400 pages
Book Rating : 4.1/5 (189 download)

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Book Synopsis Essential Strategies for Financial Services Compliance by : Annie Mills

Download or read book Essential Strategies for Financial Services Compliance written by Annie Mills and published by John Wiley & Sons. This book was released on 2015-10-08 with total page 400 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Strategies for Compliance

Author : Alan Brener
Publisher : Routledge
ISBN 13 : 1000320243
Total Pages : 299 pages
Book Rating : 4.0/5 (3 download)

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Book Synopsis Strategies for Compliance by : Alan Brener

Download or read book Strategies for Compliance written by Alan Brener and published by Routledge. This book was released on 2020-12-20 with total page 299 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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 the 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.

Essential Strategies for Financial Services Compliance

Author : Annie Mills
Publisher : John Wiley & Sons
ISBN 13 : 1118906136
Total Pages : 403 pages
Book Rating : 4.1/5 (189 download)

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Book Synopsis Essential Strategies for Financial Services Compliance by : Annie Mills

Download or read book Essential Strategies for Financial Services Compliance written by Annie Mills and published by John Wiley & Sons. This book was released on 2015-11-16 with total page 403 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Enterprise Compliance Risk Management

Author : Saloni Ramakrishna
Publisher : John Wiley & Sons
ISBN 13 : 1118550323
Total Pages : 320 pages
Book Rating : 4.1/5 (185 download)

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Book Synopsis Enterprise Compliance Risk Management by : Saloni Ramakrishna

Download or read book Enterprise Compliance Risk Management written by Saloni Ramakrishna and published by John Wiley & Sons. This book was released on 2015-09-04 with total page 320 pages. Available in PDF, EPUB and Kindle. Book excerpt: The tools and information that build effective compliance programs Enterprise Compliance Risk Management: An Essential Toolkit for Banks and Financial Services is a comprehensive narrative on managing compliance and compliance risk that enables value creation for financial services firms. Compliance risk management, a young, evolving yet intricate discipline, is occupying center stage owing to the interplay between the ever increasing complexity of financial services and the environmental effort to rein it in. The book examines the various facets of this layered and nuanced subject. Enterprise Compliance Risk Management elevates the context of compliance from its current reactive stance to how a proactive strategy can create a clear differentiator in a largely undifferentiated market and become a powerful competitive weapon for organizations. It presents a strong case as to why it makes immense business sense to weave active compliance into business model and strategy through an objective view of the cost benefit analysis. Written from a real-world perspective, the book moves the conversation from mere evangelizing to the operationalizing a positive and active compliance management program in financial services. The book is relevant to the different stakeholders of the compliance universe - financial services firms, regulators, industry bodies, consultants, customers and compliance professionals owing to its coverage of the varied aspects of compliance. Enterprise Compliance Risk Management includes a direct examination of compliance risk, including identification, measurement, mitigation, monitoring, remediation, and regulatory dialogue. With unique hands-on tools including processes, templates, checklists, models, formats and scorecards, the book provides the essential toolkit required by the practitioners to jumpstart their compliance initiatives. Financial services professionals seeking a handle on this vital and growing discipline can find the information they need in Enterprise Compliance Risk Management. Enterprise Compliance Risk Management: An Essential Toolkit for Banks and Financial Services is a comprehensive narrative on managing compliance and compliance risk that enables value creation for financial services firms. Compliance risk management, a young, evolving yet intricate discipline, is occupying center stage owing to the interplay between the ever increasing complexity of financial services and the environmental effort to rein it in. The book examines the various facets of this layered and nuanced subject. Enterprise Compliance Risk Management elevates the context of compliance from its current reactive stance to how a proactive strategy can create a clear differentiator in a largely undifferentiated market and become a powerful competitive weapon for organizations. It presents a strong case as to why it makes immense business sense to weave active compliance into business model and strategy through an objective view of the cost benefit analysis. Written from a real-world perspective, the book moves the conversation from mere evangelizing to the operationalizing a positive and active compliance management program in financial services. The book is relevant to the different stakeholders of the compliance universe - financial services firms, regulators, industry bodies, consultants, customers and compliance professionals owing to its coverage of the varied aspects of compliance. Enterprise Compliance Risk Management includes a direct examination of compliance risk, including identification, measurement, mitigation, monitoring, remediation, and regulatory dialogue. With unique hands-on tools including processes, templates, checklists, models, formats and scorecards, the book provides the essential toolkit required by the practitioners to jumpstart their compliance initiatives. Financial services professionals seeking a handle on this vital and growing discipline can find the information they need in Enterprise Compliance Risk Management.

Strategies for Success

Author : Tanya McCartney
Publisher : Bookbaby
ISBN 13 : 9781543992755
Total Pages : 0 pages
Book Rating : 4.9/5 (927 download)

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Book Synopsis Strategies for Success by : Tanya McCartney

Download or read book Strategies for Success written by Tanya McCartney and published by Bookbaby. This book was released on 2020-01-07 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Advances Strategies for Financial Services Compliance

Author : Haines
Publisher :
ISBN 13 : 9781119358954
Total Pages : 256 pages
Book Rating : 4.3/5 (589 download)

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Book Synopsis Advances Strategies for Financial Services Compliance by : Haines

Download or read book Advances Strategies for Financial Services Compliance written by Haines and published by . This book was released on 2018-06-22 with total page 256 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Regulatory Compliance Fundamentals

Author : M.L. Humphrey
Publisher : M.L. Humphrey
ISBN 13 :
Total Pages : 68 pages
Book Rating : 4./5 ( download)

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Book Synopsis Regulatory Compliance Fundamentals by : M.L. Humphrey

Download or read book Regulatory Compliance Fundamentals written by M.L. Humphrey and published by M.L. Humphrey. This book was released on 2020-01-02 with total page 68 pages. Available in PDF, EPUB and Kindle. Book excerpt: We live in a regulated world. And for someone whose role is in regulatory compliance or regulatory enforcement knowledge is often gained on an ad hoc basis through trial and error, via on the job training, or through conversations with others in a similar role. In Regulatory Compliance Fundamentals M.L. Humphrey has taken twenty years of experience as a regulator and a consultant in the financial services industry and boiled it down to the basic fundamental principles every individual in regulatory compliance should know, and presented that information in a straight-forward, easy to understand manner. If your role is in regulatory compliance, no matter how long you've been at this, this book is for you. keywords: regulatory compliance, financial services regulation, AML, OFAC, broker-dealer, how to comply with regulatory requirements, compliance program, reputational risk, business ethics

Operational Risk Management

Author : Ariane Chapelle
Publisher : John Wiley & Sons
ISBN 13 : 1119549043
Total Pages : 272 pages
Book Rating : 4.1/5 (195 download)

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Book Synopsis Operational Risk Management by : Ariane Chapelle

Download or read book Operational Risk Management written by Ariane Chapelle and published by John Wiley & Sons. This book was released on 2019-02-04 with total page 272 pages. Available in PDF, EPUB and Kindle. Book excerpt: OpRisk Awards 2020 Book of the Year Winner! The Authoritative Guide to the Best Practices in Operational Risk Management Operational Risk Management offers a comprehensive guide that contains a review of the most up-to-date and effective operational risk management practices in the financial services industry. The book provides an essential overview of the current methods and best practices applied in financial companies and also contains advanced tools and techniques developed by the most mature firms in the field. The author explores the range of operational risks such as information security, fraud or reputation damage and details how to put in place an effective program based on the four main risk management activities: risk identification, risk assessment, risk mitigation and risk monitoring. The book also examines some specific types of operational risks that rank high on many firms' risk registers. Drawing on the author's extensive experience working with and advising financial companies, Operational Risk Management is written both for those new to the discipline and for experienced operational risk managers who want to strengthen and consolidate their knowledge.

Governance, Compliance and Supervision in the Capital Markets, + Website

Author : Sarah Swammy
Publisher : John Wiley & Sons
ISBN 13 : 1119380650
Total Pages : 176 pages
Book Rating : 4.1/5 (193 download)

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Book Synopsis Governance, Compliance and Supervision in the Capital Markets, + Website by : Sarah Swammy

Download or read book Governance, Compliance and Supervision in the Capital Markets, + Website written by Sarah Swammy and published by John Wiley & Sons. This book was released on 2018-05-11 with total page 176 pages. Available in PDF, EPUB and Kindle. Book excerpt: The definitive guide to capital markets regulatory compliance Governance, Compliance, and Supervision in the Capital Markets demystifies the regulatory environment, providing a practical, flexible roadmap for compliance. Banks and financial services firms are under heavy regulatory scrutiny, and must implement comprehensive controls to comply with new rules that are changing the way they conduct business. This book provides a way forward, with clear, actionable guidance that strengthens governance at all levels, and balances supervisory and compliance requirements with the need to do business. From regulatory schemes to individual roles and responsibilities, this invaluable guide details the most pressing issues in today's financial services organizations, and provides expert advice. The ancillary website provides additional tools and guidance, including checklists, required reading, and sample exercises that help strengthen understanding and ease real-world implementation. Providing both a broad overview of governance, compliance, and supervision, as well as detailed guidance on application, this book presents a solid framework for firms seeking a practical approach to meeting the new requirements. Understand the importance of governance and "Tone at the Top" Distinguish the roles of compliance and supervision within a financial services organization Delve into the regulatory scheme applicable to broker dealers, banks, and investment advisors Examine the risks and consequences of inadequate supervision at the organizational or individual level The capital markets regulatory environment is complex and ever-evolving, yet compliance is mandatory. A solid understanding of regulatory structure is critical, but must also be accompanied by a practical strategy for effective implementation. Governance, Compliance, and Supervision in the Capital Markets provides both, enabling today's banks and financial services firms to get back on track and get back to business.

Us Banking Compliance Handbook

Author : Dominic Suszek
Publisher : Createspace Independent Publishing Platform
ISBN 13 : 9781535468220
Total Pages : 108 pages
Book Rating : 4.4/5 (682 download)

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Book Synopsis Us Banking Compliance Handbook by : Dominic Suszek

Download or read book Us Banking Compliance Handbook written by Dominic Suszek and published by Createspace Independent Publishing Platform. This book was released on 2016-07-24 with total page 108 pages. Available in PDF, EPUB and Kindle. Book excerpt: Financial institutions are under mounting pressure to remain compliant with increasingly strict anti-money laundering and counter terrorism financing regulations. Legislation like the Bank Secrecy Act in the U.S., along with many other statutes worldwide, compel organizations to perform more rigorous due diligence when on-boarding new clients and have a thorough understanding of every customer relationship. This Handbook covers all the necessities of banking compliance while keeping the information concise and straightforward. Topics covered include:* The hurdles organizations are facing due to weak client data, leading to significant regulatory penalties and requirements to increase staff.* Importance of comprehensive client profiles and having effective systems in place to capture new client information. * Necessity of ensuring transaction activity is consistent with client suitability profiles and having processes in place to detect when it is not.* The penalties and costs of failure to implement an effective compliance program.The author, Dominic Suszek, is the founder and CEO of Global RADAR(r). With more than 25 years of hands-on experience in the evolving global regulatory landscape in the financial services sector, Mr. Suszek has gained invaluable knowledge of a complex and ever-changing industry that has merged technology, compliance and operations. As a senior executive involved in all aspects of operations, technology and regulatory compliance, with particular emphasis on cost reduction, and enhanced compliance through better data management and simplified processes, he has acquired extensive knowledge of business requirements and regulatory expectations from supervisory agencies worldwide.

Building a World-Class Compliance Program

Author : Martin T. Biegelman
Publisher : John Wiley & Sons
ISBN 13 : 0470278404
Total Pages : 320 pages
Book Rating : 4.4/5 (72 download)

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Book Synopsis Building a World-Class Compliance Program by : Martin T. Biegelman

Download or read book Building a World-Class Compliance Program written by Martin T. Biegelman and published by John Wiley & Sons. This book was released on 2008-06-20 with total page 320 pages. Available in PDF, EPUB and Kindle. Book excerpt: Written by a long-standing practitioner in the field, this timely and critical work is your best source for understanding all the complex issues and requirements associated with corporate compliance. It provides clear guidance for those charged with protecting their companies from financial and reputational risk, litigation, and government intervention, who want a robust guide to establish an effective compliance program.

Financial Regulation and Technology

Author : Sheridan, Iain
Publisher : Edward Elgar Publishing
ISBN 13 : 1802205411
Total Pages : 384 pages
Book Rating : 4.8/5 (22 download)

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Book Synopsis Financial Regulation and Technology by : Sheridan, Iain

Download or read book Financial Regulation and Technology written by Sheridan, Iain and published by Edward Elgar Publishing. This book was released on 2022-02-15 with total page 384 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Enterprise Compliance Risk Management

Author : Saloni Ramakrishna
Publisher :
ISBN 13 :
Total Pages : 320 pages
Book Rating : 4.:/5 (111 download)

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Book Synopsis Enterprise Compliance Risk Management by : Saloni Ramakrishna

Download or read book Enterprise Compliance Risk Management written by Saloni Ramakrishna and published by . This book was released on 2015 with total page 320 pages. Available in PDF, EPUB and Kindle. Book excerpt: The tools and information that build effective compliance programs Enterprise Compliance Risk Management: An Essential Toolkit for Banks and Financial Services is a comprehensive narrative on managing compliance and compliance risk that enables value creation for financial services firms. Compliance risk management, a young, evolving yet intricate discipline, is occupying center stage owing to the interplay between the ever increasing complexity of financial services and the environmental effort to rein it in. The book examines the various facets of this layered and nuanced subject. Enterprise Compliance Risk Management elevates the context of compliance from its current reactive stance to how a proactive strategy can create a clear differentiator in a largely undifferentiated market and become a powerful competitive weapon for organizations. It presents a strong case as to why it makes immense business sense to weave active compliance into business model and strategy through an objective view of the cost benefit analysis. Written from a real-world perspective, the book moves the conversation from mere evangelizing to the operationalizing a positive and active compliance management program in financial services. The book is relevant to the different stakeholders of the compliance universe - financial services firms, regulators, industry bodies, consultants, customers and compliance professionals owing to its coverage of the varied aspects of compliance. Enterprise Compliance Risk Management includes a direct examination of compliance risk, including identification, measurement, mitigation, monitoring, remediation, and regulatory dialogue. With unique hands-on tools including processes, templates, checklists, models, formats and scorecards, the book provides the essential toolkit required by the practitioners to jumpstart their compliance initiatives. Financial services professionals seeking a handle on this vital and growing discipline can find the information they need in Enterprise Compliance Risk Management. Enterprise Compliance Risk Management: An Essential Toolkit for Banks and Financial Services is a comprehensive narrative on managing compliance and compliance risk that enables value creation for financial services firms. Compliance risk management, a young, evolving yet intricate discipline, is occupying center stage owing to the interplay between the ever increasing complexity of financial services and the environmental effort to re ...

Governance, Compliance and Supervision in the Capital Markets, + Website

Author : Sarah Swammy
Publisher : John Wiley & Sons
ISBN 13 : 1119380642
Total Pages : 176 pages
Book Rating : 4.1/5 (193 download)

DOWNLOAD NOW!

Book Synopsis Governance, Compliance and Supervision in the Capital Markets, + Website by : Sarah Swammy

Download or read book Governance, Compliance and Supervision in the Capital Markets, + Website written by Sarah Swammy and published by John Wiley & Sons. This book was released on 2018-04-20 with total page 176 pages. Available in PDF, EPUB and Kindle. Book excerpt: The definitive guide to capital markets regulatory compliance Governance, Compliance, and Supervision in the Capital Markets demystifies the regulatory environment, providing a practical, flexible roadmap for compliance. Banks and financial services firms are under heavy regulatory scrutiny, and must implement comprehensive controls to comply with new rules that are changing the way they conduct business. This book provides a way forward, with clear, actionable guidance that strengthens governance at all levels, and balances supervisory and compliance requirements with the need to do business. From regulatory schemes to individual roles and responsibilities, this invaluable guide details the most pressing issues in today's financial services organizations, and provides expert advice. The ancillary website provides additional tools and guidance, including checklists, required reading, and sample exercises that help strengthen understanding and ease real-world implementation. Providing both a broad overview of governance, compliance, and supervision, as well as detailed guidance on application, this book presents a solid framework for firms seeking a practical approach to meeting the new requirements. Understand the importance of governance and "Tone at the Top" Distinguish the roles of compliance and supervision within a financial services organization Delve into the regulatory scheme applicable to broker dealers, banks, and investment advisors Examine the risks and consequences of inadequate supervision at the organizational or individual level The capital markets regulatory environment is complex and ever-evolving, yet compliance is mandatory. A solid understanding of regulatory structure is critical, but must also be accompanied by a practical strategy for effective implementation. Governance, Compliance, and Supervision in the Capital Markets provides both, enabling today's banks and financial services firms to get back on track and get back to business.

Fair Lending Compliance

Author : Clark R. Abrahams
Publisher : John Wiley & Sons
ISBN 13 : 9780470241899
Total Pages : 356 pages
Book Rating : 4.2/5 (418 download)

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Book Synopsis Fair Lending Compliance by : Clark R. Abrahams

Download or read book Fair Lending Compliance written by Clark R. Abrahams and published by John Wiley & Sons. This book was released on 2008-03-14 with total page 356 pages. Available in PDF, EPUB and Kindle. Book excerpt: Praise for Fair Lending ComplianceIntelligence and Implications for Credit Risk Management "Brilliant and informative. An in-depth look at innovative approaches to credit risk management written by industry practitioners. This publication will serve as an essential reference text for those who wish to make credit accessible to underserved consumers. It is comprehensive and clearly written." --The Honorable Rodney E. Hood "Abrahams and Zhang's timely treatise is a must-read for all those interested in the critical role of credit in the economy. They ably explore the intersection of credit access and credit risk, suggesting a hybrid approach of human judgment and computer models as the necessary path to balanced and fair lending. In an environment of rapidly changing consumer demographics, as well as regulatory reform initiatives, this book suggests new analytical models by which to provide credit to ensure compliance and to manage enterprise risk." --Frank A. Hirsch Jr., Nelson Mullins Riley & Scarborough LLP Financial Services Attorney and former general counsel for Centura Banks, Inc. "This book tackles head on the market failures that our current risk management systems need to address. Not only do Abrahams and Zhang adeptly articulate why we can and should improve our systems, they provide the analytic evidence, and the steps toward implementations. Fair Lending Compliance fills a much-needed gap in the field. If implemented systematically, this thought leadership will lead to improvements in fair lending practices for all Americans." --Alyssa Stewart Lee, Deputy Director, Urban Markets Initiative The Brookings Institution "[Fair Lending Compliance]...provides a unique blend of qualitative and quantitative guidance to two kinds of financial institutions: those that just need a little help in staying on the right side of complex fair housing regulations; and those that aspire to industry leadership in profitably and responsibly serving the unmet credit needs of diverse businesses and consumers in America's emerging domestic markets." --Michael A. Stegman, PhD, The John D. and Catherine T. MacArthur Foundation, Duncan MacRae '09 and Rebecca Kyle MacRae Professor of Public Policy Emeritus, University of North Carolina at Chapel Hill

Managing Records in Global Financial Markets

Author : Lynn Coleman
Publisher : Facet Publishing
ISBN 13 : 185604663X
Total Pages : 272 pages
Book Rating : 4.8/5 (56 download)

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Book Synopsis Managing Records in Global Financial Markets by : Lynn Coleman

Download or read book Managing Records in Global Financial Markets written by Lynn Coleman and published by Facet Publishing. This book was released on 2011 with total page 272 pages. Available in PDF, EPUB and Kindle. Book excerpt: Although there are a number of publications covering records management generically, very few are focused on the specific challenges of particular sectors, and fewer still on current regulatory, legal and governance issues associated with managing records in global banking and finance businesses. This timely book fills this gap by exploring these complex issues fully, and offers strategies and examples of best practice to meet the recordkeeping challenges to which they give rise in corporate and commercial banking enterprises operating in global capital markets. The examples and cases studies encompass recordkeeping in investment banking, asset management, brokerage and other financial services which serve global markets, and the book will be of particular significance to the financial sector. However, covering as it does the issues that arise from operating across borders and jurisdictions, it will also be of relevance to multi-national businesses in other sectors. The key chapters cover: setting the scene: background and concepts regulatory and legal compliance common trends in financial services: balancing risk and return litigation-related issues recordkeeping approaches. Whilst the expert team of authors are careful to ensure that the book reflects recognized records management principles, the accessible language used will assure its value to information professionals and others without a formal records management background. Readership: This much-needed textbook will be essential reading for records managers, archivists and information professionals who manage records in the financial sector. It will also be invaluable for individuals engaged in a wide range of disciplines who rely on records to meet the increasing number of legal and regulatory obligations to which institutions engaged in global banking and finance are now subject. These include: compliance professionals, data protection officers, governance professionals, regulators and risk managers, senior managers and directors, chief operating officers and IT specialists.

Governance, Risk Management, and Compliance

Author : Richard M. Steinberg
Publisher : John Wiley & Sons
ISBN 13 : 1118024303
Total Pages : 339 pages
Book Rating : 4.1/5 (18 download)

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Book Synopsis Governance, Risk Management, and Compliance by : Richard M. Steinberg

Download or read book Governance, Risk Management, and Compliance written by Richard M. Steinberg and published by John Wiley & Sons. This book was released on 2011-08-02 with total page 339 pages. Available in PDF, EPUB and Kindle. Book excerpt: An expert's insider secrets to how successful CEOs and directors shape, lead, and oversee their organizations to achieve corporate goals Governance, Risk Management, and Compliance shows senior executives and board members how to ensure that their companies incorporate the necessary processes, organization, and technology to accomplish strategic goals. Examining how and why some major companies failed while others continue to grow and prosper, author and internationally recognized expert Richard Steinberg reveals how to cultivate a culture, leadership process and infrastructure toward achieving business objectives and related growth, profit, and return goals. Explains critical factors that make compliance and ethics programs and risk management processes really work Explores the board's role in overseeing corporate strategy, risk management, CEO compensation, succession planning, crisis planning, performance measures, board composition, and shareholder communications Highlights for CEOs, senior management teams, and board members the pitfalls to avoid and what must go right for success Outlines the future of corporate governance and what's needed for continued effectiveness Written by well-known corporate governance and risk management expert Richard Steinberg Governance, Risk Management, and Compliance lays a sound foundation and provides critical insights for understanding the role of governance, risk management, and compliance and its successful implementation in today's business environment.