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Author: BPP Learning Media Publisher: BPP Learning Media ISBN: 1445377152 Category : Business & Economics Languages : en Pages : 255
Book Description
* A list of syllabus learning outcomes covered in each chapter * Referencing of each chapter section to the syllabus Learning Outcomes covered in the section * Clear concise topic-by-topic coverage * Examples and Exercises to reinforce learning, confirm understanding and stimulate thought * A round up of the key points in each chapter * A quick quiz at the end of each chapterWe recognise that most students have only limited time for study and that some study material available on the market can be very time-consuming to use. BPP Learning Media has prepared study material which provides you with what you need to secure a good pass in your exam, while making effective use of your time.
Author: Frederic S. Mishkin Publisher: University of Chicago Press ISBN: 0226531937 Category : Business & Economics Languages : en Pages : 379
Book Description
Since banking systems play a crucial role in maintaining the overall health of the economy, the adverse effects of poorly supervised systems may be quite severe. Without some form of vigilant external oversight, banking systems could fall prey to excessive risk taking, moral hazard, and corruption. Prudential supervision provides that oversight, using government regulation and monitoring to ensure the soundness of the banking system and, by extension, the economy at large. The contributors to this thoughtful volume examine the current state of prudential supervision, focusing on fundamental issues and key pragmatic concerns. Why is prudential supervision so important? What kinds of excess must it guard against? What particular forms does it take? Which of these are the most effective deterrents against mismanagement and system overload in today's rapidly shifting financial climate? The contributors foresee a continued movement beyond simple regulatory rules in banking and toward a more active evaluation and supervision of a bank's risk management practices.
Author: Jennifer A. Elliott Publisher: INTERNATIONAL MONETARY FUND ISBN: 9781462310180 Category : Languages : en Pages : 22
Book Description
The quality of financial sector supervision has emerged as a key issue from the financial crisis. While most countries operated broadly under the same regulatory standards, differences emerged in supervisory approaches. The international response to this crisis has focused on the need for more and better regulations (e.g., in areas such as bank capital, liquidity and provisioning) and on developing a framework to address systemic risks, but there has been less discussion of how supervision itself could be strengthened. The IMF's work in assessing compliance with financial sector standards over the past decade in member countries suggests that while progress is being made in putting regulation in place, work remains to be done in many countries to strengthen supervision. How can this enhanced supervision be achieved? Based on an examination of lessons from the crisis and the findings of these assessments of countries' compliance with financial standards, the paper identifies the following key elements of good supervision-that it is intrusive, skeptical, proactive, comprehensive, adaptive, and conclusive. To achieve these elements, the "ability" to supervise, which requires appropriate resources, authority, organization and constructive working relationships with other agencies must be complemented by the "will" to act. Supervisors must be willing and empowered to take timely and effective action, to intrude on decision-making, to question common wisdom, and to take unpopular decisions. Developing this "will to act" is a more difficult task and requires that supervisors have a clear and unambiguous mandate, operational independence coupled with accountability, skilled staff, and a relationship with industry that avoids "regulatory capture." These essential elements of good supervision need to be given as much attention as the regulatory reforms that are being contemplated at both national and international levels. Indeed, only if supervision is strengthened can we hope to effectively deliver on the challenging-but crucial-regulatory reform agenda. For this to happen, society must stand with supervisors as they play their role as naysayers in times of exuberance.
Author: World Bank Publisher: World Bank Publications ISBN: 9780821364321 Category : Business & Economics Languages : en Pages : 494
Book Description
In the wake of the financial crises of the late 1990s, there was a surge of interest in the systematic assessment of financial sectors, with a view to identifying vulnerabilities and evaluating the sector's developmental needs. Consequently, there has been an increased demand from financial sector authorities in many countries for information on key issues and sound practices in the assessment of financial systems and the appropriate design of policy responses. In response, Financial Sector Assessmsnet presents a general analytical framework and broad guidance on approaches, methodologies and key techniques for assessing the stability and development needs of financial systems. It synthesizes current global sound practices in financial sector assessment.
Author: James R. Barth Publisher: Cambridge University Press ISBN: 1139448692 Category : Business & Economics Languages : en Pages : 446
Book Description
This volume assembles and presents a database on bank regulation in over 150 countries (included also on CD). It offered the first comprehensive cross-country assessment of the impact of bank regulation on the operation of banks, and assesses the validity of the Basel Committee's influential approach to bank regulation. The treatment also provides an empirical evaluation of the historic debate about the proper role of government in the economy by studying bank regulation and analyzes the role of politics in determining regulatory approaches to banking. The data also indicate that restrictions on the entry of banks, government ownership of banks, and restrictions on bank activities hurt banking system performance. The authors find that domestic political factors shape both regulations and their effectiveness.
Author: Great Britain. Treasury Publisher: The Stationery Office ISBN: 9780101826822 Category : Business & Economics Languages : en Pages : 126
Book Description
This document accompanies the introduction into Parliament of the Financial Services Bill (HC Bill 278, session 2010-12, ISBN 9780215039545 and Explanatory notes Bill 278-EN, ISBN 9780215039132) and explains the Government's final proposals to reform the failed system of financial services regulation. These proposals follow on from extensive consultation, and a draft of the Bill was subject to pre-legislative scrutiny by a Joint Committee (report published as HL Paper 236/HC 1447, ISBN 9780108474064). This document details the main changes the Government is making to the Bill. Chapters cover: Bank of England and Financial Policy Committee; Prudential Regulation Authority; Financial Conduct Authority; regulatory processes and coordination; European and international regulation. Annexes include the Government's responses to the Joint Committee and to the Treasury Committee's inquiries into financial services regulation. The core proposals are: to establish a strong and expert macro-prudential authority, the Financial Policy Committee within the Bank of England to monitor and respond to systemic risks; to transfer responsibility for micro-prudential management of firms that manage complex risks on their balance sheets to a focused new regulator, the Prudential Regulatory Authority; and to provide for a focused new conduct of business regulator, the Financial Conduct Authority, to ensure that business across financial services and markets is conducted in a way that advances the interests of all users and participants. In any future crisis it will be clear that the Chancellor of the Exchequer is in charge. Regulation of consumer credit will be brought within the remit of the Financial Conduct Authority.
Author: Justin, Mercia Selva Malar Publisher: IGI Global ISBN: Category : Business & Economics Languages : en Pages : 506
Book Description
The fintech industry's rapid growth is revolutionizing the global financial sector by providing unparalleled convenience and innovation. However, this disruptive force also brings challenges, particularly in regulation. With fintech evolving at breakneck speed, traditional regulatory frameworks struggle to keep pace, leading to potential risks and uncertainties for economies and financial systems worldwide. Without adequate and adaptable regulations, the benefits of fintech could be overshadowed by its disruptive potential, impacting financial stability and consumer trust. Examining Global Regulations During the Rise of Fintech offers a comprehensive analysis of Fintech regulations across nations, providing insights into the diverse approaches and their impacts. By examining the experiences of different countries, the book helps policymakers, industry professionals, and academics understand what works and what doesn't in fintech regulation. It offers frameworks and recommendations to promote innovation while ensuring financial stability. It is an essential guide in the rapidly evolving fintech ecosystem.
Author: Sharon Ward Publisher: Routledge ISBN: 1317039041 Category : Business & Economics Languages : en Pages : 302
Book Description
In the current business climate the impact of the volume and nature of regulatory change and the regulatory risk arising from this is a significant business risk for regulated firms and regulators alike. As a consequence, management of this risk is increasingly high on the board agenda of regulated firms, with those business functions whose activities support this, such as Compliance, facing increasing levels of challenge in their efforts to be effective. The Changing Face of Compliance addresses core aspects of this challenge, considering the relationship between regulation and compliance and key influences on both, offering insight into the effectiveness of current approaches and addressing practical compliance challenges. Sharon Ward explains how the role of Compliance might be strengthened and those who work within it further enabled to support the current focus on improving standards in business, offering recommendations for enhancing this role. The text includes a mix of hands-on advice, examples and research based on the experiences of practitioners, educators and regulators drawn from across a wide range of jurisdictions and sectors. This is a thoughtful and timely book, whether you are concerned about the growing and changing implications of regulatory risk; the benefit of leveraging additional value from your Compliance function or your own Compliance role; or ways of transforming and sustaining the function to ensure its continued relevance to the business.
Author: Andrew Hopper QC Publisher: The Law Society ISBN: 1784460192 Category : Law Languages : en Pages : 682
Book Description
The Solicitor's Handbook 2015 is a comprehensive yet user-friendly guide to the regulatory maze that governs the conduct of solicitors.This essential handbook covers the Solicitors Regulation Authority's (SRA) Code of Conduct along with the Accounts Rules, financial services regulation, money laundering requirements and alternative business structures (ABS) regulations. It also usefully sets out the extent of the regulator's powers and describes the practical workings of the regulatory and disciplinary processes (including investigations by the SRA and proceedings before the Solicitors Disciplinary Tribunal (SDT)), as well as the relevant rights of appeal and review.The 2015 edition has been thoroughly updated to take account of all significant regulatory changes that have been introduced since January 2013, including: the ban on referral fees in personal injury cases, which came into force on 1 April 2013, and the SRA's warning notice changes to the law relating to conditional fee agreements and extension of the range of cases in which damages-based agreements can be used new requirements for individuals or entities temporarily practising overseas a relaxation of the requirements for referrals to financial advisers changes to the regulation of consumer credit activities, which has passed from the Office of Fair Trading to the Financial Conduct Authority the abolition of the Assigned Risks Pool from 1 October 2013 High Court decisions in Fuglers and Andersons regarding the level of fines that the SDT can impose.
Author: BPP Learning Media
Author: Frederic S. Mishkin
Author: Jennifer A. Elliott
Author: 
Author: Ian Patterson
Author: World Bank
Author: James R. Barth
Author: Great Britain. Treasury
Author: Justin, Mercia Selva Malar
Author: Sharon Ward
Author: Andrew Hopper QC