Understanding Regulation And Compliance
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Understanding Regulation And Compliance
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Author : Kon Jeremy Staff
language : en
Publisher: Bright Sparks
Release Date : 2003
Understanding Regulation And Compliance written by Kon Jeremy Staff and has been published by Bright Sparks this book supported file pdf, txt, epub, kindle and other format this book has been release on 2003 with categories.
Understanding Regulation And Compliance
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Author : Jeremy Kon
language : en
Publisher:
Release Date : 2002-09
Understanding Regulation And Compliance written by Jeremy Kon and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2002-09 with categories.
This reference outlines the new regulatory structure in the post-N2 environment, introducing the areas regulated under the Financial Services and Markets Act 2000, the role of the Financial Services Authority and the rules imposed on firms.
Explaining Compliance
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Author : Christine Parker
language : en
Publisher: Edward Elgar Publishing
Release Date : 2011
Explaining Compliance written by Christine Parker 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 with Law categories.
'Taking a broad view of regulation, and covering a wide range of issues and industries, this collection is the most innovative effort to date to understand the responses of business firms to regulation. The book brings together an impressive group of scholars who analyze the concept of compliance and offer theoretically informed studies of its assumed links to regulation. A must read for both academics and practitioners, this ground-breaking collection firmly establishes a scholarly field of compliance studies.' Ronen Shamir, Tel Aviv University, Israel 'Business responses to regulation is a key area of social science research. Parker and Nielsen's collection brings together an excellent group of scholars with innovative, and I believe highly influential contributions that problematize the relations between regulation and compliance. The collection is a highly welcome addition to our field, that will redefine the research agenda on compliance. A significant achievement that will help to improve policy making and frame the scholarly research agenda for the years to come.' David Levi-Faur, The Hebrew University of Jerusalem, Israel and the Free University of Berlin, Germany 'A timely and important set of analyses on how and why businesses respond to regulation in the way that they do from some of the leading authors in the field, covering business responses to both state and non-state regulatory systems.' Julia Black, London School of Economics, UK Explaining Compliance consists of sixteen specially commissioned chapters by the world's leading empirical researchers, examining whether and how businesses comply with regulation that is designed to affect positive behaviour changes. Each chapter consists of reflective summaries on business compliance with different state or voluntary regulation, and the theoretical lessons to be drawn from it. As a whole, the book develops understanding and explanations of how, why and in what circumstances, firms come to comply with regulation, and when they do not. It also uncovers the complexity, ambiguity and transformation of regulation as it is interpreted, implemented and negotiated by firms, their stakeholders and internal constituencies in everyday business life. This unique and detailed resource will appeal to academics, graduate students and senior undergraduates in law, political science, sociology, criminology, economics, and psychology, as well as business and interdisciplinary areas such as law and society, and law and economics. Anyone researching business regulation, corporate social responsibility, regulation and compliance, enforcement and compliance, and public administration, will also find this book beneficial.
Understanding Regulation
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Author : Robert Baldwin
language : en
Publisher: Oxford University Press on Demand
Release Date : 2012
Understanding Regulation written by Robert Baldwin and has been published by Oxford University Press on Demand this book supported file pdf, txt, epub, kindle and other format this book has been release on 2012 with Business & Economics categories.
An introduction to the practical and theoretical issues that are central to the study of regulation, which a particular focus on contested areas and how they are dealt with.
The Structure Of Regulation
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Author : Williamson, David
language : en
Publisher: Edward Elgar Publishing
Release Date : 2021-09-23
The Structure Of Regulation written by Williamson, David 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 2021-09-23 with Law categories.
This timely and original book provides an exploration of the factors that combine to determine the form of regulatory problems and the overall success or failure of regulation. Using environmental regulation as a basis for analysis, this book puts forward a theoretical framework for the design of effective regulation and demonstrates how businesses’ compliance with environmental regulation, in particular, could be improved.
Essential Strategies For Financial Services Compliance
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Author : Annie Mills
language : en
Publisher: John Wiley & Sons
Release Date : 2015-11-16
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 2015-11-16 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.
The Structure Of Regulation
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Author : David Williamson
language : en
Publisher: Edward Elgar Publishing
Release Date : 2021-09-28
The Structure Of Regulation written by David Williamson 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 2021-09-28 with categories.
This timely and original book provides an exploration of the factors that combine to determine the form of regulatory problems and the overall success or failure of regulation. Using environmental regulation as a basis for analysis, this book puts forward a theoretical framework for the design of effective regulation and demonstrates how businesses' compliance with environmental regulation, in particular, could be improved. The authors address previous shortcomings in regulatory explanations, which have frequently overlooked the structural character of regulation and underplayed how the factors involved work together to determine regulatory shape and performance. In seeking to address this deficit, the authors develop a compliance line to demonstrate how different choices on how to regulate will affect compliance outcomes. Chapters include a review of how regulation has changed and sought to improve over the years, the relationship between rule following and regulation, how regulation incorporates and relies on necessary conditions, an identification of the trade-offs involved in regulating, and a discussion of why regulation is, by necessity and to a degree, unfair. Providing theories for how regulation can be structured to improve compliance, The Structure of Regulation will be a key resource for students and academics in the fields of law and regulation, environment studies, public policy and political science.
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.
Regulatory Compliance Fundamentals
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Author : M.L. Humphrey
language : en
Publisher: M.L. Humphrey
Release Date : 2020-01-02
Regulatory Compliance Fundamentals written by M.L. Humphrey and has been published by M.L. Humphrey this book supported file pdf, txt, epub, kindle and other format this book has been release on 2020-01-02 with Business & Economics categories.
We live in a regulated world. And for someone whose role is in regulatory compliance or regulatory enforcement knowledge is often gained on an ad hoc basis through trial and error, via on the job training, or through conversations with others in a similar role. In Regulatory Compliance Fundamentals M.L. Humphrey has taken twenty years of experience as a regulator and a consultant in the financial services industry and boiled it down to the basic fundamental principles every individual in regulatory compliance should know, and presented that information in a straight-forward, easy to understand manner. If your role is in regulatory compliance, no matter how long you've been at this, this book is for you. keywords: regulatory compliance, financial services regulation, AML, OFAC, broker-dealer, how to comply with regulatory requirements, compliance program, reputational risk, business ethics
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.