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Strategies for Compliance Tools Techniques and Challenges in Financial Services 1st Edition by Alan Brener ISBN 978-0367337742 0367337746

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Strategies for Compliance Tools Techniques and Challenges in Financial Services 1st Edition Alan Brener Digital Instant Download

Author(s): Alan Brener
ISBN(s): 9780429321825, 0429321821
Edition: 1
File Details: PDF, 6.29 MB
Year: 2020
Language: english
SKU: EB-48263154 Categories: , Tag:

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

Compliance is a fundamental control function within regulated industries globally. This book provides an expert introduction to corporate compliance using cases, examples and insights from the financial services sector and beyond.

The author, an experienced compliance practitioner and academic, highlights compliance challenges, using examples such as Wells Fargo, whistleblowing in the financial services and the mis-selling of payment protection insurance in the UK banking sector. The book explores strategies for creating compliant cultures and fostering regulatory trust, whilst practical guidance is provided on anticipating regulatory changes. Addressing organisational obstruction and delay, the author presents a series of valuable tools and techniques for real-world practice.

An essential professional development resource for board directors, compliance officers and other senior managers, the book also provides a unique learning and development resource for students of corporate compliance globally.

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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