Author: Geoffrey P. Miller Publisher: Aspen Publishers ISBN: 9781454881988 Category : Compliance Languages : en Pages : 0
Book Description
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.
Author: Alexander Dill Publisher: Taylor & Francis ISBN: 1000702731 Category : Law Languages : en Pages : 345
Book Description
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.
Author: Paul Hopkin Publisher: Kogan Page Publishers ISBN: 0749479620 Category : Business & Economics Languages : en Pages : 488
Book Description
Fundamentals of Risk Management, now in its fourth edition, is a comprehensive introduction to commercial and business risk for students and a broad range of risk professionals. Providing extensive coverage of the core frameworks of business continuity planning, enterprise risk management and project risk management, this is the definitive guide to dealing with the different types of risk an organization faces. With relevant international case examples from both the private and public sectors, this revised edition of Fundamentals of Risk Management is completely aligned to ISO 31000 and provides a full analysis of changes in contemporary risk areas including supply chain, cyber risk, risk culture and improvements in risk management documentation and statutory risk reporting. This new edition of Fundamentals of Risk Management has been fully updated to reflect the development of risk management standards and practice, in particular business continuity standards, regulatory developments, risks to reputation and the business model, changes in enterprise risk management (ERM), loss control and the value of insurance as a risk management method. Also including a thorough overview of the international risk management standards and frameworks, strategy and policy, this book is the definitive professional text for risk managers.
Author: James Lam Publisher: John Wiley & Sons ISBN: 1118834437 Category : Business & Economics Languages : en Pages : 501
Book Description
A fully revised second edition focused on the best practices of enterprise risk management Since the first edition of Enterprise Risk Management: From Incentives to Controls was published a decade ago, much has changed in the worlds of business and finance. That's why James Lam has returned with a new edition of this essential guide. Written to reflect today's dynamic market conditions, the Second Edition of Enterprise Risk Management: From Incentives to Controls clearly puts this discipline in perspective. Engaging and informative, it skillfully examines both the art as well as the science of effective enterprise risk management practices. Along the way, it addresses the key concepts, processes, and tools underlying risk management, and lays out clear strategies to manage what is often a highly complex issue. Offers in-depth insights, practical advice, and real-world case studies that explore the various aspects of ERM Based on risk management expert James Lam's thirty years of experience in this field Discusses how a company should strive for balance between risk and return Failure to properly manage risk continues to plague corporations around the world. Don't let it hurt your organization. Pick up the Second Edition of Enterprise Risk Management: From Incentives to Controls and learn how to meet the enterprise-wide risk management challenge head on, and succeed.
Author: Arjun Krishnan Publisher: SAP PRESS ISBN: 9781592292004 Category : Cash management Languages : en Pages : 438
Book Description
This book provides Finance professionals, Treasurers, and CFOs with a roadmap for making their SAP processes compliant with SOX requirements. Combining comprehensive coverage of the major applications (Electronic Banking, Positive Pay, Cash & Liquidity Management, In-House Cash) with discussion of relevant control structures, processes, and compliance matrices for each, this book lends guidance to those tasked with integrating SOX compliance into established or proposed SAP implementations. The authors focus first on processes (e.g., intercompany processing), then expand to specific applications (e.g., In-House Cash), followed by a summary of the associated controls (e.g., domestic vs. foreign processing). Functional-level finance professionals involved in the daily management of a Treasury implementation, particularly, will find many proven processes with which to build or enhance effective compliance strategies.
Author: Bryant Publisher: Wolters Kluwer ISBN: 1543811132 Category : Business & Economics Languages : en Pages : 1292
Book Description
Complete Guide to Federal and State Garnishment provides much-needed clarity when the federal and state laws appear to conflict. You'll find plain-English explanations of the laws and how they interact, as well as the specific steps you and your staff need to take to respond to the order properly. Numerous detailed examples and mathematical calculations make it easy to apply the law under different scenarios. Written by Amorette Nelson Bryant, who was recently appointed by the Uniform Law Commission as an observer for the Drafting Committee on a Wage Garnishment Act and was a past chair of both the APA GATF Child Support Subcommittee and Garnishment Subcommittee, Complete Guide to Federal and State Garnishment brings the payroll professional up-to-date on the latest federal and state laws and regulations affecting this ever-changing area. It is your one-stop source for answers to critical questions, such as: Does the amount exempt from garnishment change when the minimum wage goes up? How do I determine the wages to which the garnishment applies? If an employee is subject to more than one garnishment, which has priority? Which state's rules do I use when I receive a child support order sent from another state? State or federal law - which applies for creditor garnishment and support? Are there alternatives to remitting withheld child support via EFT/EDI? How do I handle garnishments when employees are paid a draw against salary? Previous Edition: Complete Guide to Federal and State Garnishment, 2019 Edition, ISBN 9781454899921
Author: Ariane Chapelle Publisher: John Wiley & Sons ISBN: 1119549043 Category : Business & Economics Languages : en Pages : 272
Book Description
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.
Author: John Hotta Publisher: Walter de Gruyter GmbH & Co KG ISBN: 3110689162 Category : Business & Economics Languages : en Pages : 255
Book Description
"How would you compare what you expected of board service versus the reality?" "What do you want to say to lifelong learners of corporate governance?" Compiling wisdom and practical knowledge from interviews with over 40 board directors, spanning board chairs and CEOs at public companies, private companies, and nonprofit organizations, The Art of Director Excellence, Volume 1 presents insightful answers to these questions and more. It explores a variety of important topics in corporate governance, including developing business strategy with management, navigating risks, being a board chair or committee member on different types of boards, and improving ESG and diversity, along with the many differences in how these decisions are handled in North America, Asia, and Europe. While this book is an invaluable asset for both new and existing board directors inside the boardroom, it has use outside it as well. The real-world wisdom and experience in this volume will complement academic textbooks as shown in the appendix, which cross references commonly used textbooks to show how this book matches their contents. Academics, business school faculty and students in executive education, as well as graduate and undergraduate corporate governance classes will benefit immensely from this book. Emerging leaders in investment banking, proxy advisory, and executive recruiting will gain knowledge of the inner workings of the boardroom.
Author: Darril Gibson Publisher: Jones & Bartlett Publishers ISBN: 1284055965 Category : Computers Languages : en Pages : 480
Book Description
This second edition provides a comprehensive overview of the SSCP Risk, Response, and Recovery Domain in addition to providing a thorough overview of risk management and its implications on IT infrastructures and compliance. Written by industry experts, and using a wealth of examples and exercises, this book incorporates hands-on activities to walk the reader through the fundamentals of risk management, strategies and approaches for mitigating risk, and the anatomy of how to create a plan that reduces risk. It provides a modern and comprehensive view of information security policies and frameworks; examines the technical knowledge and software skills required for policy implementation; explores the creation of an effective IT security policy framework; discusses the latest governance, regulatory mandates, business drives, legal considerations, and much more. --
Author: Shilling Publisher: Wolters Kluwer ISBN: 1543811140 Category : Business & Economics Languages : en Pages : 1878
Book Description
The Complete Guide to Human Resources and the Law will help you navigate complex and potentially costly Human Resources issues. You'll know what to do (and what not to do) to avoid costly mistakes or oversights, confront HR problems - legally and effectively - and understand the rules. The Complete Guide to Human Resources and the Law offers fast, dependable, plain English legal guidance for HR-related situations from ADA accommodation, diversity training, and privacy issues to hiring and termination, employee benefit plans, compensation, and recordkeeping. It brings you the most up-to-date information as well as practical tips and checklists in a well-organized, easy-to-use resource. Previous Edition: Complete Guide to Human Resources and the Law, 2018 Edition ISBN 9781454899945
Author: Geoffrey P. Miller
Author: Alexander Dill
Author: Paul Hopkin
Author: James Lam
Author: Arjun Krishnan
Author: Bryant
Author: Ariane Chapelle
Author: John Hotta
Author: Darril Gibson
Author: Shilling