Regulation And Compliance In Operations
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Regulation And Compliance In Operations
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Author : David Loader
language : en
Publisher: Butterworth-Heinemann
Release Date : 2004-01-12
Regulation And Compliance In Operations written by David Loader and has been published by Butterworth-Heinemann this book supported file pdf, txt, epub, kindle and other format this book has been release on 2004-01-12 with Business & Economics categories.
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.
Complete Guide To Security And Privacy Metrics
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Author : Debra S. Herrmann
language : en
Publisher: CRC Press
Release Date : 2007-01-22
Complete Guide To Security And Privacy Metrics written by Debra S. Herrmann and has been published by CRC Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2007-01-22 with Business & Economics categories.
This bookdefines more than 900 metrics measuring compliance with current legislation, resiliency of security controls, and return on investment. It explains what needs to be measured, why and how to measure it, and how to tie security and privacy metrics to business goals and objectives. The metrics are scaled by information sensitivity, asset criticality, and risk; aligned to correspond with different lateral and hierarchical functions; designed with flexible measurement boundaries; and can be implemented individually or in combination. The text includes numerous examples and sample reports and stresses a complete assessment by evaluating physical, personnel, IT, and operational security controls.
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.
Essential Strategies For Financial Services Compliance
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Author : Annie Mills
language : en
Publisher: John Wiley & Sons
Release Date : 2015-10-08
Essential Strategies For Financial Services Compliance written by Annie Mills 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 2015-10-08 with Business & Economics categories.
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.
Us Banking Compliance Handbook
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Author : Dominic Suszek
language : en
Publisher: Createspace Independent Publishing Platform
Release Date : 2016-07-24
Us Banking Compliance Handbook written by Dominic Suszek and has been published by Createspace Independent Publishing Platform this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016-07-24 with categories.
Financial institutions are under mounting pressure to remain compliant with increasingly strict anti-money laundering and counter terrorism financing regulations. Legislation like the Bank Secrecy Act in the U.S., along with many other statutes worldwide, compel organizations to perform more rigorous due diligence when on-boarding new clients and have a thorough understanding of every customer relationship. This Handbook covers all the necessities of banking compliance while keeping the information concise and straightforward. Topics covered include:* The hurdles organizations are facing due to weak client data, leading to significant regulatory penalties and requirements to increase staff.* Importance of comprehensive client profiles and having effective systems in place to capture new client information. * Necessity of ensuring transaction activity is consistent with client suitability profiles and having processes in place to detect when it is not.* The penalties and costs of failure to implement an effective compliance program.The author, Dominic Suszek, is the founder and CEO of Global RADAR(r). With more than 25 years of hands-on experience in the evolving global regulatory landscape in the financial services sector, Mr. Suszek has gained invaluable knowledge of a complex and ever-changing industry that has merged technology, compliance and operations. As a senior executive involved in all aspects of operations, technology and regulatory compliance, with particular emphasis on cost reduction, and enhanced compliance through better data management and simplified processes, he has acquired extensive knowledge of business requirements and regulatory expectations from supervisory agencies worldwide.
Cryptocurrency Compliance And Operations
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Author : Jason Scharfman
language : en
Publisher: Springer Nature
Release Date : 2021-11-26
Cryptocurrency Compliance And Operations written by Jason Scharfman and has been published by Springer Nature this book supported file pdf, txt, epub, kindle and other format this book has been release on 2021-11-26 with Business & Economics categories.
Cryptocurrencies and digital assets are increasingly garnering interest from institutional investors. This is on top of the already strong support in place for cryptocurrencies such as Bitcoin from the retail investor. With this rapid growth has come a series of complex operational and regulatory compliance challenges. These challenges have become further exacerbated by the increasing pace of technological advances in areas such as decentralized finance (DeFi) tokenization, blockchain and distributed ledger technology (DLT) essential to the crypto and digital asset markets. This book will be the first book to provide current and practical guidance on the operational and compliance foundations of crypto investing and asset management. The book will include: · Step-by-step analysis of the modern operational mechanics behind cryptocurrency investment operations · Detailed guidance and example documentation on the procedures launching a crypto fund · Explanation of the operational procedures and compliance requirements for crytpo asset managers · Detailed analysis of crypto anti-money laundering compliance, regulations and laws for cryptocurrencies · Up-to-date analysis of recent crypto case studies, frauds and regulatory enforcement actions · Review of the digital asset landscape including non-fungible tokens (NFTs) and asset tokenization · Current examples of real-world crypto operations policies and compliance manuals · Analysis of the emerging trends in crypto operations and compliance in areas including blockchain, DeFi, crypto lending, yield farming, crypto mining and dApps Cryptocurrency Compliance and Operations will be an invaluable up-to-date resource for investors, fund managers, and their operations and compliance personnel as well as service providers on the implementation and management of best practice operations.
An Introduction To Casino Operations Management From A Compliance Perspective
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Author : Gelitha J. Ferguson
language : en
Publisher: Strategic Book Publishing Rights Agency
Release Date : 2014-05-19
An Introduction To Casino Operations Management From A Compliance Perspective written by Gelitha J. Ferguson and has been published by Strategic Book Publishing Rights Agency this book supported file pdf, txt, epub, kindle and other format this book has been release on 2014-05-19 with Business & Economics categories.
Casino Operations Management is an intriguing yet mystifying multi-trillion dollar industry worldwide. But little is known or documented about how this thriving industry is operated and managed. What goes on behind the scenes of these operations? For years casino operators were known for their connections to the underworld. On the surface, the intrigue and behind-the-scenes mystery of the operations of these entities could appear dark and sinister in the minds of many. But individuals are sometimes drawn to darkness ... GamingInParadise.com is a virtual Casino Operations Management training conglomerate located in a land shrouded in mystery-filled intrigue, which is nestled on the Isle of Enchantment. The Isle of Enchantment is a part of a chain of islands called the Bahamas, which is comprised of 700 islands sprinkled over 100,000 square miles of ocean, starting just 50 miles off the coast of Florida. These beautiful islands have been described as another world, where visitors can't tell where dreams begin and reality ends. As you walk through the luscious landscape of the Isle of Enchantment, you enter the unknown world of a gamers' paradise. About the Author First-time author Gelitha J. Ferguson of Nassau is an internationally certified compliance professional/general counsel, with a combined 24-year career in professional management in the regulatory and supervisory environments, the gaming industry, banking and finance, compliance and anti-money laundering/terrorist financing solutions at regional and international levels. She has extensive specialized training from leading regulatory institutions in the U.S.A., Canada, Switzerland, London, and the Bahamas. Publisher's website: http: //sbprabooks.com/GelithaJFerguson
Oecd Reviews Of Regulatory Reform Risk And Regulatory Policy Improving The Governance Of Risk
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Author : OECD
language : en
Publisher: OECD Publishing
Release Date : 2010-04-09
Oecd Reviews Of Regulatory Reform Risk And Regulatory Policy Improving The Governance Of Risk written by OECD and has been published by OECD Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2010-04-09 with categories.
This publication presents recent OECD papers on risk and regulatory policy. They offer measures for developing, or improving, coherent risk governance policies.
Financial Regulation And Compliance Website
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Author : H. David Kotz
language : en
Publisher: John Wiley & Sons
Release Date : 2015-08-03
Financial Regulation And Compliance Website 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 2015-08-03 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.
The Regulatory Compliance Matrix Regulation Of Financial Services Information And Communication Technology And Generally Related Matters
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Author : Guido Reinke
language : en
Publisher: Gold Rush Publishing
Release Date : 2015-07-31
The Regulatory Compliance Matrix Regulation Of Financial Services Information And Communication Technology And Generally Related Matters written by Guido Reinke and has been published by Gold Rush Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015-07-31 with Business & Economics categories.
This exceptional guidebook is ideal for industry professionals, regulators and scholars in the domain of regulatory governance. The Regulatory Compliance Matrix with more than 2500 entries brings clarity to a domain which is widely considered to be complex, unstructured, and in constant flux. It is a compendious guide to the laws, regulations, standards, and recommendations applicable to compliance programmes. What practitioners find in this book will empower them to save money, man-hours, and consultancy interventions. Inside, the reader will find the following key resources: Regulatory Compliance Matrix: a synopsis of the principal domains of applicable regulation, setting forth legal norms, ancillary standards and guidelines. This Matrix covers the laws and regulations specific to financial services (Part I) and information and communications technology (Part II) at the global and European as well at the UK national and sub-national level. Part III of the Matrix covers generally applicable regulatory domains like corporate governance, consumer protection and employment law, information security, data protection and electronic commerce. Regulatory authorities: a comprehensive listing with descriptions of authorities who define the regulatory agenda. Weblinks are provided for each authority, which enables the reader to access the latest regulatory developments and updates. Overview of the conduct of effective compliance programmes: a pragmatic approach to the entire process, from scoping and prioritisation, conducting risk assessments, defining control activities and reporting requirements; to undertaking effectiveness reviews, documenting findings and making recommendations; to assessing compliance maturity and creating action plans. Non-compliance costs checklist: a detailed list of financial, operational, personal, and regulatory risks. This will assist readers with risk assessment and prioritisation of compliance domains."