Author: Publisher:
ISBN:
Category : Bankers
Languages : en
Pages : 166
Book Description
Codes of Conduct in the Financial Services Industry
Author: Research Handbook on Law and Ethics in Banking and Finance
Author: Costanza A. RussoPublisher: Edward Elgar Publishing
ISBN: 1784716545
Category : Law
Languages : en
Pages : 448
Book Description
The global financial crisis evidenced the corrosive effects of unethical behaviour upon the banking industry. The recurrence of misbehaviour in the financial sector, including fraud and manipulations of market indices, suggests the need to establish a banking culture that conforms to the highest standards of ethical and professional behaviour. This Research Handbook on Law and Ethics in Banking and Finance focuses on the role that law should play and the effectiveness of newly introduced regulations and supervisory actions as a driver for ethical conduct so as to reconnect the interests of bankers and financiers with the interests of society.
THE IMPACT OF SUSTAINABILITY CODES OF CONDUCT IN THE FINANCIAL SECTOR.
Author: A Practitioner's Guide to Conflicts of Interest in the Financial Services Industry
Author: Dick FrasePublisher: Sweet & Maxwell
ISBN: 0414049411
Category : Business & Economics
Languages : en
Pages : 365
Book Description
This title examines in a practical manner the complex law and regulations that now exist in the United Kingdom, the United States of America and various other important jurisdictions concerning the concept of conflicts of interest and how the principles have been applied in the financial services industry
Getting the Culture and the Ethics Right
Author: Patrick S. KenadjianPublisher: Walter de Gruyter GmbH & Co KG
ISBN: 3110497417
Category : Law
Languages : en
Pages : 180
Book Description
This volume is a collection of articles based upon presentations given on November 23, 2015 at a conference hosted by the Institute for Law and Finance entitled "Towards a New Age of Responsibility in Banking and Finance: Getting the Culture and the Ethics Right" which brought together leaders from the public and private sectors to discuss the importance of culture and ethics in restoring public trust in financial institutions.
Ethics, Misconduct and the Financial Services Industry
Author: Barbara FryzelPublisher: Routledge
ISBN: 1000337685
Category : Business & Economics
Languages : en
Pages : 153
Book Description
This book explores how ethics and the moral context of business have evolved historically in inf luential management theories and concepts. It looks at how managerial thought accommodates morality, values, and ethics and demonstrates the emerging patterns of ethical conduct to illustrate how moral aspects of management and organizational practice can become peripheral. The author examines a diverse range of data sources such as the most seminal books in management and academic papers published in the mainstream academic literature. The readings selected in the process are subject to critical analysis and are complemented by an exploratory study of the financial services industry, based on semistructured in-depth interviews. The uniqueness of the proposed approach comes first from the consolidation of many perspectives such as management, organization studies, and business anthropology rather than focusing on one particular subdiscipline; second, from using a mixed methodology, combining literature reviews with empirical, exploratory research based on interviews; and third from including a narrative context in the analysis and proposed future theory framework. This book will appeal to students, researchers, and scholars who teach ethics in the fields of economics or business. It is useful for advancing theory and research on moral management and as a resource for management practitioners looking to create business practices fostering moral sensitivity. Those interested in setting future development directions may also find the proposed consolidation of theoretical and empirical evidence valuable for the design of future policies.
An Assessment of Voluntary Codes of Conduct in the Financial Sector
Author: Ifedayo AdeniyiPublisher:
ISBN:
Category : Finance
Languages : en
Pages : 102
Book Description
As a result of the key roles financial institutions play in the world today, they are pivotal in addressing arguably the biggest challenge the world faces today - sustainable development. Several pioneering financial institutions, some with the collaboration of non-governmental organisations, have developed key initiatives to act as roadmap towards ensuring intra and intergenerational equity. These initiatives are referred to as codes of conduct, and take on the name voluntary, because organizations are not mandated to adopt them. Nonetheless, these self-regulatory codes inadvertently act as soft laws to which adopters must abide by. This research describes the more prevalent codes in the financial sector - the Equator Principles, Global Alliance on Banking Values, United Nations Environmental Programme Finance Incentive, United Nations Principles for Responsible Investment - with the latter three used as a case study to determine if significant differences exist between signatories and non-signatories. Via quantitative techniques, results indicate that there is indeed a noteworthy difference between both groups of banks, suggesting that signatories address sustainability concerns in their reports more often than their non-signatory counterparts. The research concludes by noting that even though more reporting does not necessarily translate to enhanced performance, it is a step in the right direction, and exudes the qualities of the codes that may have been responsible for this development.
Fortegnelse over Jac. Lunds Forlags- og Kommissionsskrifter 1854-1894
Author: Conduct and Pay in the Financial Services Industry
Author: Thomas OggPublisher: Taylor & Francis
ISBN: 1317189922
Category : Law
Languages : en
Pages : 450
Book Description
Since the financial crisis, one of the key priorities of the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) has been individual accountability. This book addresses the regulatory and employment law challenges that arise from the FCA’s and PRA’s requirements. The expert team of writers examine in depth the provisions of the Financial Services and Markets Act 2000 which relate to individuals, and the associated requirements of the PRA and FCA. The topics addressed include: The Senior Manager, Certification and Approved Person Regimes Regulatory references and whistleblowing Disciplinary investigations, enforcement and sanctions Notifications, ‘Form C’, and fitness & propriety Bonus disputes and the Remuneration Code Conduct and Pay in the Financial Services Industry considers the full extent of an individual’s employment, from pre-contractual discussions to the post-termination clawback of remuneration. It is a vital reference for lawyers and human resources professionals working within the financial services industry, both in-house and in private practice. It will also be of interest to all academics, regulators and policy-makers involved in this sector.
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