Enterprise compliance risk management an essential toolkit for banks and financial services
"The tools and information that build effective compliance programs Enterprise Compliance Risk Management: An Essential Toolkit for Banks and Financial Services is a comprehensive overview of managing compliance and compliance risk. With unique hands-on tools including templates, checklists, a...
| Otros Autores: | |
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| Formato: | Libro electrónico |
| Idioma: | Inglés |
| Publicado: |
Singapore :
Wiley
2015.
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| Edición: | 1st edition |
| Colección: | Wiley corporate F & A series.
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| Materias: | |
| Ver en Biblioteca Universitat Ramon Llull: | https://discovery.url.edu/permalink/34CSUC_URL/1im36ta/alma991009629723106719 |
Tabla de Contenidos:
- Intro
- Advance Praise
- Title Page
- Copyright
- Table of Contents
- Dedication
- Preface
- Acknowledgments
- About the Author
- Opening Notes
- Design and Structure of the Book
- Part One: Introduction to Compliance in Financial Services
- Chapter 1: An Overview of Compliance in Financial Services
- A Brief History and Evolution of Compliance
- Chapter 2: Compliance in the Twenty-First Century
- Drivers of Compliance
- Broad Areas of Regulation and Supervision in Financial Services
- Major Bodies That Define Compliance Boundaries for Financial Services
- Part Two: The What, Why, and Who of Compliance
- Chapter 3: What Is "Compliance"?
- Compliance in the Context of Banking and Financial Services
- Understanding the Semantic Maze of Compliance
- Interconnects
- Chapter 4: Why Is Compliance Needed?
- Why Regulate?
- Why Comply?
- Consequences of Noncompliance
- Cost-Benefit Analysis of Active Compliance
- Interrelationship between Business Model, Strategy, and Compliance
- Active Compliance-a Strategic Tool in Value Creation, Preservation, and Enhancement
- Chapter 5: Who Are the Players in the Compliance Universe?
- The Universe of the Financial System-A Bird's-Eye View
- Primer on Major Players in the Financial System
- Stakeholders of the Compliance Universe
- Compliance Roles
- Part Three: The How of Compliance
- Chapter 6: Compliance Framework
- Managing the Compliance Maze
- Chapter 7: Operationalizing Compliance
- Operational Framework
- Points to Note
- Compliance Culture Dimension
- Part Four: The Compliance Risk Dimension
- Chapter 8: Exploring the Concept of Compliance Risk
- Defining Risk
- Overlap of Financial Risks and Compliance Risk
- Compliance Risk-An Introduction
- Defining Compliance Risk
- Subcategories of Compliance Risk
- Compliance Risk and Organizational Complexity Scale.
- Chapter 9: Compliance Risk Management
- Risk Appetite
- Risk Identification
- Risk Assessment
- Risk Mitigation
- Risk Monitoring
- Risk Remediation
- Compliance Risk Reporting
- Regulatory Dialogue
- Part Five: The Real World of Compliance in Financial Services
- Chapter 10: Real-Life Issues of Managing Compliance in Financial Services
- Myths vs. Reality
- Overlaps and Conflict Zones
- Some Important Distinctions
- Chapter 11: Lessons Not Learned
- Real-World Examples
- The Shifts
- Chapter 12: Practical Solutions to Some Important Operational Challenges
- Challenge: Building Business Integrity into Organization's Fabric
- Challenge: Building Compliance-Aware Organization (CAO)
- Challenge: Compliance Reach to All
- Challenge: Managing Regulatory Dialogue
- Closing Notes
- Regulatory Coherence
- Compliance Coherence
- Building a Learning Organization
- Index
- End User License Agreement.
