Strategies for Compliance Tools Techniques and Challenges in Financial Services 1st Edition by Alan Brener – Ebook PDF Instant Download/Delivery: 978-0367337742, 0367337746
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Product details:
ISBN 10: 0367337746
ISBN 13: 978-0367337742
Author: Alan Brener
Table of contents:
1 Introduction
2 A new approach to compliance and the lessons from Wells Fargo
3 Compliance and ‘whistleblowing’ and corporate psychology
4 Compliance and the regulators
5 Finding the right people and the key functions of the compliance organization
6 The operational tools of compliance
7 ‘Culture’ within a business: structural and psychological issues and the role of compliance
8 Training corporate organisations to be compliant
9 Lessons for compliance officers from regulatory enforcement: the UK experience
10 Lessons for compliance officers from regulatory enforcement actions and guidance: the US experience
11 Conclusion
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Tags: Alan Brener, Strategies for Compliance, Techniques and Challenges


