Managing Regulation
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Managing Regulation
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Author : Martin Lodge
language : en
Publisher: Bloomsbury Publishing
Release Date : 2012-06-29
Managing Regulation written by Martin Lodge and has been published by Bloomsbury Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2012-06-29 with Political Science categories.
Regulation has become a central aspect of contemporary governance as a result of public management reforms over recent decades. Yet, for all its ubiquity, the ideas of regulation have become increasingly contested. Key failures in the regulation of areas such as financial markets, nuclear power and food safety have revealed limitations in strategies which were once praised as offering superior problem-solving solutions. This major new text introduces the issues which affect the design and operation of regulatory regimes, and assesses the different regulatory strategies which can be used to deal with real-world challenges. In doing so, it examines the most important areas in regulatory policy and reform, including rule-making and enforcement, better regulation, infrastructure regulation, international regulation and risk regulation. Throughout the book, Martin Lodge and Kai Wegrich discuss a range of hypothetical and real-world examples to illustrate key issues, options and trade-offs, and to encourage readers to think critically and creatively about the regulatory options which are available. Drawing on the most up-to-date research, this text provides a clear and useful toolkit for thinking analytically about regulation.
The Regulatory Craft
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Author : Malcolm K. Sparrow
language : en
Publisher: Rowman & Littlefield
Release Date : 2011-01-01
The Regulatory Craft written by Malcolm K. Sparrow and has been published by Rowman & Littlefield this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011-01-01 with Law categories.
The Regulatory Craft tackles one of the most pressing public policy issues of our time—the reform of regulatory and enforcement practice. Malcolm K. Sparrow shows how the vogue prescriptions for reform (centered on concepts of customer service and process improvement) fail to take account of the distinctive character of regulatory responsibilities—which involve the delivery of obligations rather than just services.In order to construct more balanced prescriptions for reform, Sparrow invites us to reconsider the central purpose of social regulation—the abatement or control of risks to society. He recounts the experiences of pioneering agencies that have confronted the risk-control challenge directly, developing operational capacities for specifying risk-concentrations, problem areas, or patterns of noncompliance, and then designing interventions tailored to each problem. At the heart of a new regulatory craftsmanship, according to Sparrow, lies the central notion, "pick important problems and fix them." This beguilingly simple idea turns out to present enormously complex implementation challenges and carries with it profound consequences for the way regulators organize their work, manage their discretion, and report their performance. Although the book is primarily aimed at regulatory and law-enforcement practitioners, it will also be invaluable for legislators, overseers, and others who care about the nature and quality of regulatory practice, and who want to know what kind of performance to demand from regulators and how it might be delivered. It stresses the enormous benefit to society that might accrue from development of the risk-control art as a core professional skill for regulators.
Managing Regulation In Canada
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Author :
language : en
Publisher:
Release Date : 1996
Managing Regulation In Canada written by and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1996 with Administrative law categories.
The Changing Face Of Compliance
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Author : Sharon Ward
language : en
Publisher: Routledge
Release Date : 2016-04-01
The Changing Face Of Compliance written by Sharon Ward and has been published by Routledge this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016-04-01 with Business & Economics categories.
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.
Financial Regulation And Compliance
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Author : H. David Kotz
language : en
Publisher: John Wiley & Sons
Release Date : 2015-07-06
Financial Regulation And Compliance written by H. David Kotz and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015-07-06 with Business & Economics categories.
Devise an organized, proactive approach to financial compliance Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities. Written by David Kotz, former Inspector General of the SEC with additional guidance provided by leading experts, this book is a one-stop resource for navigating the numerous regulations that have been enacted in response to the financial crisis. You'll learn how best to defend your organization from SEC, CFTC, FINRA, and NFA Enforcement actions, how to prepare for SEC, FINRA, and NFA regulatory examinations, how to manage the increasing volume of whistleblower complaints, how to efficiently and effectively investigate these complaints, and more. Detailed discussion of the regulatory process explains how aggressive you should be in confronting federal agencies and self-regulatory organizations and describes how commenting on issues that affect your business area can be productive or not. The companion website includes a glossary of terms, regulations and government guidance, relevant case law, research databases, and FAQs about various topics, giving you a complete solution for keeping abreast of evolving compliance issues. These days, compliance professionals are faced with a myriad of often overlapping regulatory challenges. Increased aggressiveness on the part of regulators has led to increased demand on financial firms, but this book provides clear insight into navigating the changes and building a more robust compliance function. Strengthen internal compliance and governance programs Manage whistleblower programs and conduct effective investigations Understand how to minimize exposure and liability from Enforcement actions Learn how to prepare for the different types of regulatory examinations Minimize exposure from FCPA violations Understand the pros and cons of commenting on regulations The volume and pace of regulatory change is causing new and diverse pressures on compliance professionals. Navigate the choppy waters successfully with the insider guidance in Financial Regulation and Compliance.
Regulation And Compliance In Operations
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Author : David Loader
language : en
Publisher: Elsevier
Release Date : 2003-12-05
Regulation And Compliance In Operations written by David Loader and has been published by Elsevier this book supported file pdf, txt, epub, kindle and other format this book has been release on 2003-12-05 with Law categories.
'Regulation and Compliance in Operations' looks at how regulation affects the operations function by focusing on regulatory issues and drivers. As regulatory demands ever increasing, it is important for operations teams to be aware of the important regulatory issues which exist globally. Like any other part of an organization in the financial services industry, operations has rules and regulations to comply with. Although many view regulation as being about rooting out rogue traders and controlling speculators, its role is much more profound than this, and without it many more 'scandals' would undoubtedly occur. The problem for the regulator is that unless total oversight of every transaction, account, business and individual can be made, there will always be rogue traders or more recent examples like Enron and World.Com. As such intense oversight is not practical, the regulator can only do so much, with most of the responsibility resting with the firms and organizations themselves. For operations teams their role in protecting the firm stems from their ability to manage critical processes like reconciliation, asset position agreements and the nostro accounts efficiently and effectively. Regulators need the help and support of the businesses to have a 'business-friendly environment'. When some abuse the trust placed in them and the regulatory environment, a 'scandal' or worse occurs, with the result that the majority are penalized as regulators react to criticism and apply more onerous regulations. It is often the operations teams that bear most, or at least some, of the repercussions of greater regulatory oversight of the business. It is therefore vitally important for operations teams to have a firm understanding of the regulatory issues and drivers. This book will help you gain that understanding, as well as looking at the important regulatory issues in the various global markets in which your business operates. * This book completes the popular Securities Institute Operations Management Series * Explains the role of regulation and compliance in UK, US and global financial markets * Provides a valuable perspective from the operations department viewpoint without getting caught up in the minute details of regulations
From Chasing Violations To Managing Risks
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Author : Florentin Blanc
language : en
Publisher:
Release Date : 2018
From Chasing Violations To Managing Risks written by Florentin Blanc and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2018 with Administrative acts categories.
Florentin Blanc focuses specifically on regulatory inspections and enforcement, their historical development, contrasted approaches and methods, and their relative effectiveness in achieving regulatory objectives. Inspections aimed at verifying compliance with regulations are one of the most significant activities of modern states in terms of the number of staff employed or of people affected, and one of the most visible ones - but have long remained relatively under-researched, or at least not considered "as such."
The Regulation And Management Of Workplace Health And Safety
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Author : Peter Sheldon
language : en
Publisher: Routledge
Release Date : 2020-07-12
The Regulation And Management Of Workplace Health And Safety written by Peter Sheldon and has been published by Routledge this book supported file pdf, txt, epub, kindle and other format this book has been release on 2020-07-12 with Business & Economics categories.
The book provides a collection of cutting-edge, multi-disciplinary research-based chapters on work, workers and the regulation and management of workplace health and safety. Featuring research from Australia, Europe and North America, the chapters traverse important historical examples and place important, emerging contemporary trends, like work in the gig economy, into wider international and historical perspectives. The authors are leading authorities in their fields. The book contributes to advancing our knowledge – empirical and theoretical – of the ways in which labour market dynamics, management strategies, state regulation and public policy, and union organisation affect outcomes for workers. It features in-depth exploration of, and reflection on, some of the major labour market challenges facing workers, and analysis of strengths and weaknesses of responses to those challenges, whether via management, state regulation or collective employee voice. The chapters highlight shifts in in/equality of outcomes; access to security and flexibility at work; genuine access to workplace voice and decision-making; and the implications of different avenues and mechanisms for regulating work and employment. The text is aimed at researchers, undergraduate and postgraduate students in work and organisational studies, industrial/employment relations and human resource management, workplace (or occupational) health and safety, employment law, and labour history. It will also be of particular interest to policy makers and practitioners working in the field of workplace health and safety.
Managing The Regulatory Process
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Author : J. Luis Guasch
language : en
Publisher: World Bank Publications
Release Date : 1999-01-01
Managing The Regulatory Process written by J. Luis Guasch and has been published by World Bank Publications this book supported file pdf, txt, epub, kindle and other format this book has been release on 1999-01-01 with Political Science categories.
'...developing countries, complementing their far-reaching privatization programs, are engaged in deregulating various sectors of their economies and devising new regulatory frameworks for others, particularly the utilities sectors.' As economies become more open, pressures on countries to become more competitive drive the call for regulatory reform to reduce costs and foster increased productivity, competitiveness, and growth. This report provides an overview of the costs and benefits of regulation throughout the world. It provides case histories of regulation in different countries, developed and developing and in various sectors, such as, transportation, utilities, and power. It presents different strategies that were employed. Furthermore, it identifies lessons learned and lays the foundations for a best practice scenario for other countries to adopt. While the challenges to regulatory reform are considerable, so are the efforts that developing countries are making to face them. These lessons, when properly adapted to each country's own environment, can significantly increase the likelihood of effective regulation.
Managing Food Safety And Hygiene
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Author : Bridget M. Hutter
language : en
Publisher: Edward Elgar Publishing
Release Date : 2011-01-01
Managing Food Safety And Hygiene written by Bridget M. Hutter and has been published by Edward Elgar Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011-01-01 with Business & Economics categories.
'One of the most thorough and considered studies we have of the relationship between regulation and business risk management practices. Food regulation provides a revealing canvas for understanding the dynamics of the governance of risk.' – John Braithwaite, Australian National University Food safety and hygiene is of critical importance to us all, yet, as periodic food crises in various countries each year show we are all dependent on others in business and public regulation to ensure that the food we consume from food, in the retailing and hospitality sectors is safe. Bridget Hutter considers the understandings of risk and regulation held by those in business and considers the compliance pressures on managers and owners, and how these relate to understandings of risk and uncertainty. Using data from an in-depth case study of the food retail and catering sectors in the UK, the research investigates how business risk management practices are influenced by external pressures such as state regulation, consumers, insurance and the media and by pressures within business. The argument of the book is that food businesses in the UK are generally motivated to manage risk. They realize that good risk management aligns with good business practice. However, there are challenges for an industry that is highly segmented in terms of risk management capacity. The findings have implications for contemporary risk regulation in the increasingly number of countries that rely on self-regulation. Managing Food Safety and Hygiene will prove invaluable for academic researchers and students in risk regulation studies, business studies, food studies, organizational studies, social psychology, socio-legal studies, sociology, management, public administration and political science. In addition, the book will also appeal to practitioners specifically to senior policy makers, regulators and business risk managers charged with managing risk in diverse organizational settings, and across different functional jurisdictions.