A Practitioner's Guide to Conflicts of Interest in the Financial Services Industry PDF Download

Author: David Sutton
Publisher: BCS, The Chartered Institute for IT
ISBN: 9781780172682
Category : Business & Economics
Languages : en
Pages : 208

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Book Description
Information risk management (IRM) is about identifying, assessing and prioritising risks to keep information secure and available. This accessible book is a practical guide to understanding the principles of IRM and developing a strategic approach to an IRM programme. It also includes a chapter on applying IRM in the public sector. It is the only textbook for the BCS Practitioner Certificate in Information Risk Management.

Author: Jela Webb
Publisher: Elsevier
ISBN: 1780631359
Category : Business & Economics
Languages : en
Pages : 245

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Book Description
The management of organisational information assets and the development of information policies have received much attention in recent times with organisations challenging themselves to think about 'information' and 'knowledge' as key organisational assets that require careful management. This book provides a practical guide to addressing the many aspects associated with successful implementation of an information management initiative. The book considers how to develop strategic awareness, how to formulate information strategies and policies and includes a very practical guide upon how to conduct an information audit. Readers will become equipped to develop their careers in the rapidly growing area of managing organisational information assets. - Written by an author who offers both practical and academic experience in the field of strategic information management (SIM) - Written from a business perspective, the text provides concise, practical advice on how to achieve successful information management - Whilst drawing upon knowledge of theoretical models, the emphasis is on practical applicability in the workplace

Author: Marcy Hogan Greer
Publisher: American Bar Association
ISBN: 9781604429558
Category : Class actions (Civil procedure)
Languages : en
Pages : 1412

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Book Description
Complete with a state-by-state analysis of the ways in which the class action rules differ from the Federal Rule of Civil Procedure 23, this comprehensive guide provides practitioners with an understanding of the intricacies of a class action lawsuit. Multiple authors contributed to the book, mainly 12 top litigators at the premiere law firm of Fulbright and Jaworski, L.L.P.

Author: Narita Bahra
Publisher: Law Brief Publishing
ISBN: 9781916698192
Category :
Languages : en
Pages : 0

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Book Description
This book is intended to provide practical guidance when considering issues of disclosure in criminal proceedings. It is aimed at both prosecution and defence practitioners. Disclosure issues can arise in any criminal case and in many guises, from the prosecution seeking an adverse inference from the defence's failure to set out their case in the defence statement, to the defence applying for proceedings to be stayed as an abuse of process due to disclosure failings by the prosecution. It also includes checklists designed to help the reader ask the right questions when considering particular disclosure topics along with a number of precedents, pro-formas and sample documents to assist. With a Foreword by Lord Justice Fulford (Sitting in Retirement). ABOUT THE AUTHORS Narita Bahra KC is one of the most sought after and able leading defence barristers instructed to defend in heavyweight Crime and Business Crime cases. She has been instructed in a number of the high-profile cases in which disclosure failings by the Prosecuting authorities have been unmasked. In 2018, four of these cases became the subject of review by the House of Commons Select Committee. Narita's most recent success resulted in her exposing an expert witness and significant disclosure failings. She has cemented a reputation as a barrister who can skilfully deal with the most difficult of disclosure cases. Her excellent track record, high success rate and commitment to fighting fearlessly for her client's best interests make her the leading choice in high profile disclosure cases. She regularly appears on Sky News and BBC news as a legal correspondent and is a regular author and contributor to legal journals. Don Ramble is a specialist prosecution barrister with 20 years' experience in the criminal courts. He has acted as disclosure counsel in some of the highest profile criminal trials in recent years, establishing himself as an expert in the field. His reputation and knowledge sees him called upon regularly to advise on disclosure issues in large and complex cases across the UK. CONTENTS Introduction Chapter One - Development of Disclosure Law Chapter Two - Terminology Chapter Three - Initial, Continuing and Post-Trial Disclosure Chapter Four - Defence Statements and Witness Notices Chapter Five - Disclosure Requests Chapter Six - Disclosure in the Magistrates' Court Chapter Seven - Digital Material Chapter Eight - Expert Witnesses Chapter Nine - Third-Party Material and Redaction Chapter Ten - PII Applications Chapter Eleven - Preventing Disclosure Problems Chapter Twelve - Tackling Disclosure Problems Chapter Thirteen - Remuneration

Author: Dick Frase
Publisher: Sweet & Maxwell
ISBN: 0414049411
Category : Business & Economics
Languages : en
Pages : 365

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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

Author: Donald T. Dickson
Publisher: Simon and Schuster
ISBN: 0684826577
Category : Law
Languages : en
Pages : 328

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Book Description
The advent of computerized data systems, the growth of managed care, the AIDS epidemic, mandatory reporting requirements for child abuse, workplace drug testing, and various laws requiring that social workers maintain confidential communications in some situations yet disclose them in others have made confidentiality a vital, changing area of the law. Practitioners, administrators, and those studying for these professions need to know how to use these laws to protect their clients, themselves, and their agencies. Mental health practitioners need authoritative guidance in these areas when working with clients -- children as well as adults -- in both individual and group settings. Administrators must be aware of the laws that protect worker and client privacy, and those that permit legitimate access to information.

Author: Jonathan Marsh
Publisher:
ISBN: 9781905121052
Category : Insider trading in securities
Languages : en
Pages : 377

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Book Description
Covers various aspects of relevant UK regulation including civil law liability, as well as obligations arising from international developments and in particular the impact of US securities laws on UK issuers.

Author: Jonathan C. Dickey
Publisher: Practising Law Institute
ISBN: 9781402408175
Category : Actions and defenses
Languages : en
Pages : 0

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Book Description
Securities Litigation: A Practitioner's Guide can help companies cope effectively with this major challenge, by providing you with the guidance you need to help your clients get the competitive edge in securities class actions.

Author: Randy Bartlett
Publisher: McGraw Hill Professional
ISBN: 0071807608
Category : Business & Economics
Languages : en
Pages : 289

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Book Description
Gain the competitive edge with the smart use of business analytics In today’s volatile business environment, the strategic use of business analytics is more important than ever. A Practitioners Guide to Business Analytics helps you get the organizational commitment you need to get business analytics up and running in your company. It provides solutions for meeting the strategic challenges of applying analytics, such as: Integrating analytics into decision making, corporate culture, and business strategy Leading and organizing analytics within the corporation Applying statistical qualifications, statistical diagnostics, and statistical review Providing effective building blocks to support analytics—statistical software, data collection, and data management Randy Bartlett, Ph.D., is Chief Statistical Officer of the consulting company Blue Sigma Analytics. He currently works with Infosys, where he has helped build their new Business Analytics practice.

Author: Annelies van der Veen
Publisher: Van Haren
ISBN: 9087535864
Category : Architecture
Languages : en
Pages : 233

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Book Description
Capacity Management is described in most key ITSM frameworks: ITIL, ISO 20000 Microsoft Operations Framework (MOF) and the Application Service Library (ASL) all note the importance of Capacity Management. This major title meets the need for an in-depth practical guide to this critical process. Written and reviewed by some of the world s most respected experts in this field it shows how Capacity Management best practice can support provision of a consistent, acceptable service level at a known and controlled cost. Practical advice covers the essential control of two balances: Supply versus demand and resources versus cost. In times of mean, frugal economic measures, it is essential to focus on those practices that are effective and yield practical results. In enlightened times of sustainability, it is also a requirement to find solutions that satisfy the criteria for 'greenness'. This excellent title shows how Capacity Management works not only within an IT environment but also why it is pivotal in meeting high profile business demands. Aligns with ISO/IEC 20000 and ITIL® ISO/IEC lists a set of required capacity management deliverables ITIL outlines what should be done in capacity management this book starts to describe how to do it Covers details of what capacity management is all about: what is capacity management why do it benefits and cost-benefit analysis how to do it data-flows and activities who does it roles and perspectives implementation, maintenance, improvement, tools Provides comprehensive templates and checklists: objectives, interfaces and data-flows, sub-practices and activities metrics, application sizing parameters, data for modelling deliverables, reports, CMMI levels, KPIs, risk matrix sample capacity plan