Conduct and Accountability in Financial Services A Practical Guide

Name: Conduct and Accountability in Financial Services
Author: Stacey English

Auteur: Stacey English

Taal: Engels

Afbeeldingen

Artikel vergelijken

Vergelijk met andere artikelen

Bekijk nu

Auteur: Stacey English Susannah Hammond

Engels
Paperback
9781526505200
29 november 2018
360 pagina's

Alle productspecificaties

Samenvatting

Are you fully prepared for the implementation of the Senior Managers and Certification Regime across financial services firms and the related regulatory scrutiny on conduct and accountability? The 2008 financial crisis sparked major changes in global financial services regulation with attention and resources focused on the behaviour of firms and senior individuals and how they conduct their business. Regulatory reforms have been designed and implemented globally to address accountability and conduct in financial services. In the UK this has resulted in the Senior Managers and Certification Regime (SM&CR) being implemented across all FSMA-regulated firms. Conduct and Accountability in Financial Services: A Practical Guide provides comprehensive and expert guidance on how best to implement and comply with the SM&CR. In addition to acting as a guide to rule book requirements and regulatory expectations, it provides an in-depth look at the implications of the global focus on culture and conduct risk. A must-read text for all staff in UK financial services firms, professional associations, industry bodies, regulators, academics and advisers to financial services organisations, it covers: The context and regulatory basis for SM&CR including an overview of the development and roll-out of the regime Analysis of key changes from the previous ‘approved person’ approach Practical considerations for HR, internal audit and non-executive directors The increasing role of culture and conduct risk A practical overview of enforcement, penalties and learning lessons from enforcement actions Overarching principles of how to manage personal regulatory risk Regulatory relationship management The impact of technology An overview of related global developments Appendices with timeline, bibliography and a selection of other useful sources for senior managers Conduct and Accountability in Financial Services: A Practical Guide is on the syllabus reading list for the Regulation and Compliance exam offered by the Chartered Institute of Securities and Investments. This title is included in Bloomsbury Professional's Banking and Finance online service.

Productspecificaties

Inhoud

Taal: en
Bindwijze: Paperback
Oorspronkelijke releasedatum: 29 november 2018
Aantal pagina's: 360
Illustraties: Nee

Betrokkenen

Hoofdauteur: Stacey English
Tweede Auteur: Susannah Hammond
Hoofduitgeverij: Bloomsbury Professional

Overige kenmerken

Extra groot lettertype: Nee
Product breedte: 156 mm
Product lengte: 248 mm
Studieboek: Nee
Verpakking breedte: 156 mm
Verpakking hoogte: 248 mm
Verpakking lengte: 248 mm
Verpakkingsgewicht: 584 g

EAN

EAN: 9781526505200

Je vindt dit artikel in

Categorieën: Rechten

Managementboeken

Privaatrecht

Financieel recht

Bankrecht

Financiele diensten wet & Regelgeving

Verzekeringswetgeving

Boeken
Taal: Engels
Beschikbaarheid: Leverbaar
Boek, ebook of luisterboek?: Boek
Studieboek of algemeen: Algemene boeken

Reviews

Nog geen reviews

Hoe controleren en plaatsen wij reviews? Hoe controleren en plaatsen wij reviews?

Negatief, positief, neutraal: we zetten een review altijd online. We controleren wel eerst of ’ie voldoet aan onze reviewvoorwaarden en niet nep is. We controleren ook of ’ie is geschreven door iemand die het artikel heeft gekocht via bol.com en zetten dit er dan bij. De controles gebeuren automatisch, al kijken er soms mensen mee. Bol.com betaalt niet voor reviews. Als een reviewer door een andere partij is vergoed, staat dit in de review zelf.