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Author: Alan Brener Publisher: Routledge ISBN: 1000320243 Category : Business & Economics Languages : en Pages : 299
Book Description
Compliance is a fundamental control function within regulated industries globally. This book provides an expert introduction to corporate compliance using cases, examples and insights from the financial services sector and beyond. The author, an experienced compliance practitioner and academic, highlights compliance challenges, using examples such as Wells Fargo, whistleblowing in the financial services and the mis-selling of payment protection insurance in the UK banking sector. The book explores strategies for creating compliant cultures and fostering regulatory trust, whilst practical guidance is provided on anticipating regulatory changes. Addressing organisational obstruction and delay, the author presents a series of valuable tools and techniques for real-world practice. An essential professional development resource for board directors, compliance officers and other senior managers, the book also provides a unique learning and development resource for students of corporate compliance globally.
Author: Alan Brener Publisher: Routledge ISBN: 1000320243 Category : Business & Economics Languages : en Pages : 299
Book Description
Compliance is a fundamental control function within regulated industries globally. This book provides an expert introduction to corporate compliance using cases, examples and insights from the financial services sector and beyond. The author, an experienced compliance practitioner and academic, highlights compliance challenges, using examples such as Wells Fargo, whistleblowing in the financial services and the mis-selling of payment protection insurance in the UK banking sector. The book explores strategies for creating compliant cultures and fostering regulatory trust, whilst practical guidance is provided on anticipating regulatory changes. Addressing organisational obstruction and delay, the author presents a series of valuable tools and techniques for real-world practice. An essential professional development resource for board directors, compliance officers and other senior managers, the book also provides a unique learning and development resource for students of corporate compliance globally.
Author: Martin T. Biegelman Publisher: John Wiley & Sons ISBN: 0470278404 Category : Business & Economics Languages : en Pages : 320
Book Description
Written by a long-standing practitioner in the field, this timely and critical work is your best source for understanding all the complex issues and requirements associated with corporate compliance. It provides clear guidance for those charged with protecting their companies from financial and reputational risk, litigation, and government intervention, who want a robust guide to establish an effective compliance program.
Author: Andreas von Staden Publisher: University of Pennsylvania Press ISBN: 0812295153 Category : Law Languages : en Pages : 349
Book Description
In Strategies of Compliance with the European Court of Human Rights, Andreas von Staden looks at the nature of human rights challenges in two enduring liberal democracies—Germany and the United Kingdom. Employing an ambitious data set that covers the compliance status of all European Court of Human Rights judgments rendered until 2015, von Staden presents a cross-national overview of compliance that illustrates a strong correlation between the quality of a country's democracy and the rate at which judgments have met compliance. Tracing the impact of violations in Germany and the United Kingdom specifically, he details how governments, legislators, and domestic judges responded to the court's demands for either financial compensation or changes to laws, policies, and practices. Framing his analysis in the context of the long-standing international relations debate between rationalists who argue that actions are dictated by an actor's preferences and cost-benefit calculations, and constructivists, who emphasize the influence of norms on behavior, von Staden argues that the question of whether to comply with a judgment needs to be analyzed separately from the question of how to comply. According to von Staden, constructivist reasoning best explains why Germany and the United Kingdom are motivated to comply with the European Court of Human Rights judgments, while rationalist reasoning in most cases accounts for how these countries bring their laws, policies, and practices into sufficient compliance for their cases to be closed. When complying with adverse decisions while also exploiting all available options to minimize their domestic impact, liberal democracies are thus both norm-abiding and rational-instrumentalist at the same time—in other words, they choose their compliance strategies rationally within the normative constraint of having to comply with the Court's judgments.
Author: Tanya McCartney Publisher: Bookbaby ISBN: 9781543992755 Category : Business & Economics Languages : en Pages : 0
Book Description
The role of the compliance professional in the financial services industry is of critical importance. It can make the difference between having a licence to facilitate business and being caught in a scandal which threatens the very survival of a firm. Financial instutions are mandated by law to have qualified persons serve in senior leadership positions such as the BSA Officer, Money Laundering Reporting and Compliance Officer. These roles require technical competence with a clear understanding of the law and regulations, company policy and procedures as well as global trends impacting the business. Equally important are the key leadership skills needed to succeed in such a role. Technical skills are simply not enough. A successful compliance professional is a leader who can build relationships, inspire a team and add value in the creation of a culture of compliance.This book is for persons who are in an anti-money laundering position, engaged in any way in the fight against financial crime or responsible for regulatory compliance. It is a practical guide for the compliance professional to aid in navigating the challenges which they face daily in risk management and mitigation. It is an effective resource that can be used when having to make difficult decisions or engaging in challenging conversations with colleagues. It should be your go-to when faced with a leadership challenge in your role.Sharpen your skills to perform roles and responsibilities as it relates to the compliance function. This resource is a useful and strategic guide for individuals wishing to enter the compliance field and those desiring to excel within the field. It answers the "how" in becoming a strong compliance leader and executing your mandate while cultivating the respect of your peers and those in the regulatory environment.
Author: Annie Mills Publisher: John Wiley & Sons ISBN: 1118906195 Category : Business & Economics Languages : en Pages : 400
Book Description
A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.
Author: Michael G. Silverman Publisher: McGraw Hill Professional ISBN: 0071642862 Category : Business & Economics Languages : en Pages : 338
Book Description
In today’s business climate, accountability, transparency, and a high regard for laws, regulations, and ethical conduct is as much a part of how an organization manages its affairs as its primary mission and operations. Compliance Management for Public, Private, or Nonprofit Organizations is a complete, hands-on guide to implementing strategies and techniques for developing, managing, and improving the compliance function of any organization. Author Michael G. Silverman is a corporate expert in strategic planning, program management, compliance, risk assessment, and policy development. In Compliance Management for Public, Private, or Nonprofit Organizations, he presents a comprehensive treatment of the subject by examining the traditional compliance issues associated with laws and regulations, as well as matters surrounding ethical behavior, organizational structure, technology, administration, and risk management. From establishing compliance goals and managing education and training programs to operating a whistle-blowing program and addressing staffing and budgeting requirements, this practical resource covers everything compliance officers and risk and organizational managers need to know, including: Where and how to establish a compliance program within an organization The critical skills and expertise for maintaining an effective compliance program Pros and cons of making a compliance program a part-time function of an organization How to deliver bad news to senior management—and survive Compliance Management for Public, Private, or Nonprofit Organizations includes a wealth of examples that illustrate the real-world applications of critical strategies and techniques for using the board of directors and senior management to promote compliance, reduce employee and management barriers to compliance, conduct in-depth risk assessment and compliance audits, and more.
Author: Nitish Singh Ph.D. Publisher: Bloomsbury Publishing USA ISBN: Category : Business & Economics Languages : en Pages : 318
Book Description
This practical guide shows how to build an effective compliance and ethics program that will lower a business's risks and improve productivity. Research increasingly supports the notion that ethical, compliant businesses see increased productivity across a range of measurements. This practical guide tells business professionals, business and law students, and other interested parties exactly how that goal can be achieved. The book covers an extensive range of ethics-compliant laws and regulations impacting businesses today and identifies critical factors for successful compliance programs. Going well beyond works that speak in general terms about compliance-based actions, this unique volume delves into details about specific regulatory issues and the steps that can be taken to mitigate risk. The first half of the book shares general guidelines for creating or improving internal compliance and ethics programs. The second half identifies specific, high-risk regulatory areas; provides an overview of relevant laws; and sets forth best practices specific to the regulations discussed. By providing a simplified understanding of compliance with laws related to issues such as antitrust, international business, wages and labor, Health Insurance Portability and Accountability Act (HIPAA) and health care, the environment and more, the guide offers readers the tools necessary to improve an existing compliance program or create a new program where none has existed before.
Author: Steven R Wilson Publisher: SAGE Publications ISBN: 145226435X Category : Language Arts & Disciplines Languages : en Pages : 409
Book Description
Why do individuals say what they do during everyday face-to-face influence interactions? How do people seek or resist compliance in different relational, institutional, and cultural contexts? Linking theory and research to salient, real life examples and recent academic studies, Steven Wilson introduces the reader to the theories, systems of message analysis, complexities and nuances of interpersonal persuasion. Seeking and Resisting Compliance is the only single-authored, interdisciplinary text to explore compliance gaining and resistance from a message production perspective. This incisive, clearly written text is ideal for students, scholars, and anyone interested in interpersonal influence and persuasion in everyday interactions. Recommended for graduate and upper-level undergraduate courses in persuasion as well as special topics courses in interpersonal influence, social psychology, and sociolinguistics. Features of this text: Ground breaking, specific focus on message production as opposed to only message effects. Multiple theoretical perspectives are presented and the vast body of research from communication, psychology, linguistics, philosophy and related fields is reviewed. Student-friendly pedagogy, such as definitions, examples, and sections describing "common assumptions" about various theories engage students and highlight important concepts. Steven Wilson currently is an Associate Professor and Director of Graduate Studies in the Department of Communication at Purdue University. He is one of five associate editors for the interdisciplinary journal Personal Relationships, and past chair of the International Communication Association's Interpersonal Communication division. His research and teaching focus on interpersonal influence and message production in a variety of contexts, from parent-child interaction in abusive families to intercultural business negotiations. He has published nearly forty articles and book chapters on these topics.
Author: LORI L. DESAUTELS Publisher: ISBN: 9781948018890 Category : Languages : en Pages : 312
Book Description
The developing brains of our children need to "feel" safe. Children who carry chronic behavioral challenges are often met with reactive and punitive practices that can potentially reactivate the developing stress response systems. This book deeply addresses the need for co-regulatory and relational touch point practices, shifting student-focused behavior management protocols to adult regulated brain and body states which are brain aligned, preventive, and relational discipline protocols. This new lens for discipline benefits all students by reaching for sustainable behavioral changes through brain state awareness rather than compliance and obedience.
Author: Alan Brener
Author: Alan Brener
Author: Martin T. Biegelman
Author: Andreas von Staden
Author: Terry Wireman
Author: Tanya McCartney
Author: Annie Mills
Author: Michael G. Silverman
Author: Nitish Singh Ph.D.
Author: Steven R Wilson
Author: LORI L. DESAUTELS