The Law Of Governance Risk Management And Compliance

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The Law of Governance, Risk Management and Compliance

Author : Geoffrey P. Miller
Publisher : Aspen Publishing
ISBN 13 : 1543815995
Total Pages : 1243 pages
Book Rating : 4.5/5 (438 download)

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Book Synopsis The Law of Governance, Risk Management and Compliance by : Geoffrey P. Miller

Download or read book The Law of Governance, Risk Management and Compliance written by Geoffrey P. Miller and published by Aspen Publishing. This book was released on 2019-09-13 with total page 1243 pages. Available in PDF, EPUB and Kindle. Book excerpt: Geoffrey Miller’s The Law of Governance, Risk Management and Compliance is widely credited for introducing a new field of legal studies. Compliance and its related subjects of governance and risk management are major sources of jobs and also important developments in legal practice. The billions of dollars of fines paid over the past decade and the burgeoning and seemingly never-ending parade of compliance and risk management breakdowns – recently including the Wells Fargo sales practices scandal, the Volkswagen emissions cheat, and the Boeing 737 MAX crisis – all attest to the importance of the issues treated in this readable and timely book. New to the Third Edition: Comprehensive updates on recent developments New treatment of compliance failures: Wells Fargo account opening scandal, Volkswagen emissions cheat, important developments in Catholic Church sex abuse scandal. New treatment of risk management failures: the Boeing 737 MAX scandal. Professors and students will benefit from: Clear, concise definitions Fun and interesting problems Real-world perspective from an author who has been involved both as a scholar and as a member of a corporate board of directors Highly readable and interesting writing Text boxes containing key concepts and definitions Realistic problems for class discussion and analysis

The Law of Governance, Risk Management, and Compliance

Author : Geoffrey P. Miller
Publisher : Aspen Publishers
ISBN 13 : 9781454881988
Total Pages : 0 pages
Book Rating : 4.8/5 (819 download)

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Book Synopsis The Law of Governance, Risk Management, and Compliance by : Geoffrey P. Miller

Download or read book The Law of Governance, Risk Management, and Compliance written by Geoffrey P. Miller and published by Aspen Publishers. This book was released on 2017 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: The second edition of The Law of Governance, Risk Management, and Compliance follows the first edition, as the first casebook focused on the law of governance, risk management, and compliance. Author Geoffrey P. Miller, a highly respected professor of corporate and financial law, brings real world experience to the book as a member of the board of directors and audit and risk committees of a significant banking institution. The book addresses issues of fundamental importance for any regulated organization (the $13 billion settlement between JPMorgan Chase and its regulators is only one of many examples). This book can be a cornerstone for courses on compliance, corporate governance, or on the role of attorneys in managing risk in organizational clients.

Governance, Risk, and Compliance Handbook

Author : Anthony Tarantino
Publisher : John Wiley & Sons
ISBN 13 : 047009589X
Total Pages : 1044 pages
Book Rating : 4.4/5 (7 download)

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Book Synopsis Governance, Risk, and Compliance Handbook by : Anthony Tarantino

Download or read book Governance, Risk, and Compliance Handbook written by Anthony Tarantino and published by John Wiley & Sons. This book was released on 2008-03-14 with total page 1044 pages. Available in PDF, EPUB and Kindle. Book excerpt: Providing a comprehensive framework for a sustainable governance model, and how to leverage it in competing global markets, Governance, Risk, and Compliance Handbook presents a readable overview to the political, regulatory, technical, process, and people considerations in complying with an ever more demanding regulatory environment and achievement of good corporate governance. Offering an international overview, this book features contributions from sixty-four industry experts from fifteen countries.

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.

Bank Regulation, Risk Management, and Compliance

Author : Alexander Dill
Publisher : Taylor & Francis
ISBN 13 : 1000702731
Total Pages : 327 pages
Book Rating : 4.0/5 (7 download)

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Book Synopsis Bank Regulation, Risk Management, and Compliance by : Alexander Dill

Download or read book Bank Regulation, Risk Management, and Compliance written by Alexander Dill and published by Taylor & Francis. This book was released on 2019-10-01 with total page 327 pages. Available in PDF, EPUB and Kindle. Book excerpt: Bank Regulation, Risk Management, and Compliance is a concise yet comprehensive treatment of the primary areas of US banking regulation – micro-prudential, macroprudential, financial consumer protection, and AML/CFT regulation – and their associated risk management and compliance systems. The book’s focus is the US, but its prolific use of standards published by the Basel Committee on Banking Supervision and frequent comparisons with UK and EU versions of US regulation offer a broad perspective on global bank regulation and expectations for internal governance. The book establishes a conceptual framework that helps readers to understand bank regulators’ expectations for the risk management and compliance functions. Informed by the author’s experience at a major credit rating agency in helping to design and implement a ratings compliance system, it explains how the banking business model, through credit extension and credit intermediation, creates the principal risks that regulation is designed to mitigate: credit, interest rate, market, and operational risk, and, more broadly, systemic risk. The book covers, in a single volume, the four areas of bank regulation and supervision and the associated regulatory expectations and firms’ governance systems. Readers desiring to study the subject in a unified manner have needed to separately consult specialized treatments of their areas of interest, resulting in a fragmented grasp of the subject matter. Banking regulation has a cohesive unity due in large part to national authorities’ agreement to follow global standards and to the homogenizing effects of the integrated global financial markets. The book is designed for legal, risk, and compliance banking professionals; students in law, business, and other finance-related graduate programs; and finance professionals generally who want a reference book on bank regulation, risk management, and compliance. It can serve both as a primer for entry-level finance professionals and as a reference guide for seasoned risk and compliance officials, senior management, and regulators and other policymakers. Although the book’s focus is bank regulation, its coverage of corporate governance, risk management, compliance, and management of conflicts of interest in financial institutions has broad application in other financial services sectors. Chapter 6 of this book is freely available as a downloadable Open Access PDF at http://www.taylorfrancis.com under a Creative Commons Attribution-Non Commercial-No Derivatives (CC-BY-NC-ND) 4.0 license.

Risk Management and Corporate Governance

Author : Marijn van Daelen
Publisher : Edward Elgar Publishing
ISBN 13 : 184980799X
Total Pages : 257 pages
Book Rating : 4.8/5 (498 download)

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Book Synopsis Risk Management and Corporate Governance by : Marijn van Daelen

Download or read book Risk Management and Corporate Governance written by Marijn van Daelen and published by Edward Elgar Publishing. This book was released on 2010-01-01 with total page 257 pages. Available in PDF, EPUB and Kindle. Book excerpt: In reaction to the recent financial crisis and corporate failures at the beginning of the millennium, the emphasis of the business community in corporate governance has shifted towards internal control and risk management issues. As a result, risk management discussion has reached an unprecedented level for academics and practitioners alike. This international, multidisciplinary book provides a comprehensive overview of the risk management landscape, encompassing its challenges and problems and taking stock of its influence on both companies and society as a whole. The eminent contributors review historical and current provisions relating to internal control and risk management in Europe and in the USA. They address the interconnected consequences of the necessity of risk management, and illustrate that a comprehensive approach needs to be further improved. The pros and cons of both the rule-based and the principle-based approaches are analysed, showing that the latter makes it more feasible for sound business practices to be combined with strategic company goals, and for the relationship between entrepreneurial risk taking and sound risk governance management to be in equilibrium. The book also presents a balanced supervision framework, which both promotes prevention of excessive risk taking and tackles risk failure.

Governance, Risk, and Compliance Handbook for Oracle Applications

Author : Nigel King
Publisher : Packt Publishing Ltd
ISBN 13 : 1849681716
Total Pages : 646 pages
Book Rating : 4.8/5 (496 download)

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Book Synopsis Governance, Risk, and Compliance Handbook for Oracle Applications by : Nigel King

Download or read book Governance, Risk, and Compliance Handbook for Oracle Applications written by Nigel King and published by Packt Publishing Ltd. This book was released on 2012-08-24 with total page 646 pages. Available in PDF, EPUB and Kindle. Book excerpt: The book is not organized by product, rather by the governance and risk assurance processes. A given product may be represented in multiple places within the book and a given process may contain multiple product references. To ensure that we keep ourselves grounded in real problems, the book is written as a journal of a fictional company establishing its governance processes. It will introduce managers and directors responsible for various aspects of the governance, risk and compliance problem and where that problem is exposed and how it is addressed in the technology and business applications. The audience for this book is the people that advise the board, the internal audit department and CIO office on controls, security and risk assurance. Consultants that are implementing Financials or GRC Applications who wish to gain an understanding of the Governance Risk and Compliance processes, and how they are represented in Oracle, should find it a useful primer. Risk Assurance professionals will find it a reliable companion.

Legal Risk Management, Governance and Compliance

Author : Stuart Weinstein
Publisher : Globe Law and Business Limited
ISBN 13 : 9781905783946
Total Pages : 0 pages
Book Rating : 4.7/5 (839 download)

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Book Synopsis Legal Risk Management, Governance and Compliance by : Stuart Weinstein

Download or read book Legal Risk Management, Governance and Compliance written by Stuart Weinstein and published by Globe Law and Business Limited. This book was released on 2013 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: In today's globalised business environment, companies face a complex assortment of new and often contradictory laws and regulations. High-profile corporate scandals involving compliance failures teach us that loss of reputation can have a significant, if not fatal, effect on a company. International companies recognise this and invest heavily in systems designed to detect and prevent compliance breaches. However, such systems and controls cannot succeed without the development of a strong compliance culture that secures buy-in from executives, managers, employees, contractors and business partners all at levels. This title offers cutting edge know-how and guidance for the development and management of a sophisticated legal risk management and compliance operation. While identifying risks and regulatory challenges, chapters also explore how professionals can manage processes; implement change; track issues and loss events; screen potential clients, partners, employees and contractors; and implement appropriate remediation. The book features chapters on board structures, corporate governance, fraud and bribery, Sarbanes-Oxley requirements, European capital markets regulation, arbitration and mediation, data protection, offshoring and the cloud, human resources issues for managers, and managing legal risk in China. Legal Risk Management, Governance and Compliance is a must-have desk reference for in-house corporate counsel and compliance officers, individuals involved in the compliance, audit, legal and risk functions within companies and non-profit organisations, as well as the law firms that service these organisations' needs.--

OECD Reviews of Regulatory Reform Risk and Regulatory Policy Improving the Governance of Risk

Author : OECD
Publisher : OECD Publishing
ISBN 13 : 926408293X
Total Pages : 248 pages
Book Rating : 4.2/5 (64 download)

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Book Synopsis OECD Reviews of Regulatory Reform Risk and Regulatory Policy Improving the Governance of Risk by : OECD

Download or read book OECD Reviews of Regulatory Reform Risk and Regulatory Policy Improving the Governance of Risk written by OECD and published by OECD Publishing. This book was released on 2010-04-09 with total page 248 pages. Available in PDF, EPUB and Kindle. Book excerpt: This publication presents recent OECD papers on risk and regulatory policy. They offer measures for developing, or improving, coherent risk governance policies.

Legal Risk Management, Governance and Compliance

Author : Stuart Weinstein
Publisher : Globe Law and Business Limited
ISBN 13 : 9781909416512
Total Pages : 0 pages
Book Rating : 4.4/5 (165 download)

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Book Synopsis Legal Risk Management, Governance and Compliance by : Stuart Weinstein

Download or read book Legal Risk Management, Governance and Compliance written by Stuart Weinstein and published by Globe Law and Business Limited. This book was released on 2016 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This new volume charts the biggest successes - and failures - of legal risk management, governance and compliance at global brands over the past two decades; the cases that have led to our understanding, and myriad national and international regulations, today. Succeeding bestseller Legal Risk Management, Governance and Compliance: A Guide to Best Practice, this case-study companion provides the next level of critical analysis and legal commentary. Leading experts analyse real-life cases and make recommendations based on lessons learned, offering solutions that will be of use to all those directly involved in, or concerned with, the management of legal risk in the commercial, government or non-profit sector. Key cases under the microscope include the FIFA scandal, coverage of MetLife's fight against being designated 'too big to fail' by the US and lessons learned from the General Motors case. Checklists and diagrams are included to consolidate core issues and provide a readily accessible view of corporate group structures and associated timelines. Legal Risk Management, Governance and Compliance: Interdisciplinary Case Studies from Leading Experts will support practitioners and executives in their professional development while directly demonstrating, case by case, the difference that an effective risk management strategy makes towards organisational goals.

Corporate Governance and Risk Management in Financial Institutions

Author : Robert C. Gericke
Publisher : Springer
ISBN 13 : 3319673114
Total Pages : 217 pages
Book Rating : 4.3/5 (196 download)

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Book Synopsis Corporate Governance and Risk Management in Financial Institutions by : Robert C. Gericke

Download or read book Corporate Governance and Risk Management in Financial Institutions written by Robert C. Gericke and published by Springer. This book was released on 2018-03-27 with total page 217 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book presents an overview of corporate governance and risk management, analyzing their interdependence and particularly their relevance in banking. It discusses current trends in corporate governance, such as stakeholder management, financial performance and the cost of equity, compensation schemes, board structures and shareholder activism. Further, it reviews some of the most important regulatory changes introduced since the latest financial crisis and highlights their impact on the annual reports of the banks under analysis. Lastly, the book assesses and compares major banks in Brazil and Germany with special emphasis on the aspects mentioned above, revealing surprising similarities between the banking systems of these otherwise disparate countries.

The Cambridge Handbook of Compliance

Author : Benjamin van Rooij
Publisher : Cambridge University Press
ISBN 13 : 1108754139
Total Pages : 1559 pages
Book Rating : 4.1/5 (87 download)

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Book Synopsis The Cambridge Handbook of Compliance by : Benjamin van Rooij

Download or read book The Cambridge Handbook of Compliance written by Benjamin van Rooij and published by Cambridge University Press. This book was released on 2021-05-20 with total page 1559 pages. Available in PDF, EPUB and Kindle. Book excerpt: Compliance has become key to our contemporary markets, societies, and modes of governance across a variety of public and private domains. While this has stimulated a rich body of empirical and practical expertise on compliance, thus far, there has been no comprehensive understanding of what compliance is or how it influences various fields and sectors. The academic knowledge of compliance has remained siloed along different disciplinary domains, regulatory and legal spheres, and mechanisms and interventions. This handbook bridges these divides to provide the first one-stop overview of what compliance is, how we can best study it, and the core mechanisms that shape it. Written by leading experts, chapters offer perspectives from across law, regulatory studies, management science, criminology, economics, sociology, and psychology. This volume is the definitive and comprehensive account of compliance.

Standards for Internal Control in the Federal Government

Author : United States Government Accountability Office
Publisher : Lulu.com
ISBN 13 : 0359541828
Total Pages : 88 pages
Book Rating : 4.3/5 (595 download)

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Book Synopsis Standards for Internal Control in the Federal Government by : United States Government Accountability Office

Download or read book Standards for Internal Control in the Federal Government written by United States Government Accountability Office and published by Lulu.com. This book was released on 2019-03-24 with total page 88 pages. Available in PDF, EPUB and Kindle. Book excerpt: Policymakers and program managers are continually seeking ways to improve accountability in achieving an entity's mission. A key factor in improving accountability in achieving an entity's mission is to implement an effective internal control system. An effective internal control system helps an entity adapt to shifting environments, evolving demands, changing risks, and new priorities. As programs change and entities strive to improve operational processes and implement new technology, management continually evaluates its internal control system so that it is effective and updated when necessary. Section 3512 (c) and (d) of Title 31 of the United States Code (commonly known as the Federal Managers? Financial Integrity Act (FMFIA)) requires the Comptroller General to issue standards for internal control in the federal government.

A Guide to Insurance

Author : Nigel Feetham
Publisher : Spiramus Press Ltd
ISBN 13 : 1907444467
Total Pages : 303 pages
Book Rating : 4.9/5 (74 download)

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Book Synopsis A Guide to Insurance by : Nigel Feetham

Download or read book A Guide to Insurance written by Nigel Feetham and published by Spiramus Press Ltd. This book was released on 2012 with total page 303 pages. Available in PDF, EPUB and Kindle. Book excerpt: A Guide to Insurance examines the practice of insurance law as an issue of governance. The author applies a practical approach to insurance regulatory law (both domestic and international) and provides a guide to current trends, markets and policy choices facing governments and regulators. The book covers the way captives as well as open market insurers are regulated, how they operate and what the potential issues are.

Legal Governance, Risk Management, and Compliance The Ultimate Step-By-Step Guide

Author : Gerardus Blokdyk
Publisher :
ISBN 13 : 9780655111368
Total Pages : 0 pages
Book Rating : 4.1/5 (113 download)

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Book Synopsis Legal Governance, Risk Management, and Compliance The Ultimate Step-By-Step Guide by : Gerardus Blokdyk

Download or read book Legal Governance, Risk Management, and Compliance The Ultimate Step-By-Step Guide written by Gerardus Blokdyk and published by . This book was released on 2018 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Legal governance, risk management, and compliance The Ultimate Step-By-Step Guide.

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.

Corporate Governance Matters

Author : David Larcker
Publisher : FT Press
ISBN 13 : 0132367076
Total Pages : 497 pages
Book Rating : 4.1/5 (323 download)

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Book Synopsis Corporate Governance Matters by : David Larcker

Download or read book Corporate Governance Matters written by David Larcker and published by FT Press. This book was released on 2011-04-14 with total page 497 pages. Available in PDF, EPUB and Kindle. Book excerpt: Corporate Governance Matters gives corporate board members, officers, directors, and other stakeholders the full spectrum of knowledge they need to implement and sustain superior governance. Authored by two leading experts, this comprehensive reference thoroughly addresses every component of governance. The authors carefully synthesize current academic and professional research, summarizing what is known, what is unknown, and where the evidence remains inconclusive. Along the way, they illuminate many key topics overlooked in previous books on the subject. Coverage includes: International corporate governance. Compensation, equity ownership, incentives, and the labor market for CEOs. Optimal board structure, tradeoffs, and consequences. Governance, organizational strategy, business models, and risk management. Succession planning. Financial reporting and external audit. The market for corporate control. Roles of institutional and activist shareholders. Governance ratings. The authors offer models and frameworks demonstrating how the components of governance fit together, with concrete examples illustrating key points. Throughout, their balanced approach is focused strictly on two goals: to “get the story straight,” and to provide useful tools for making better, more informed decisions.