Financial Compliance: Issues, Concerns and Future Directions

Banking / Finance

Financial Compliance: Issues, Concerns and Future Directions

By Maria Krambia-Kapardis
Springer-Verlag June 2019

Specifications

ISBN-13
9783030145101
Publisher
Springer-Verlag
Publication
June 2019
Format
Hardback
Jurisdiction
Switzerland ? Countri(es) for reference only

Details

This book explores the fundamental elements and risks that impact the compliance officer’s work. Following a comprehensive understanding of the role of a compliance officer, by engaging with themes of compliance officers’ liability, expectations, risks and effectiveness, it provides practical answers by leading academics and practitioners in the field.

This work also draws on how other areas, such as GDPR, financial regulation and whistleblowing, challenges on compliance officers and provides a way forward to convert these challenges into opportunities. The discussion of compliance challenges and practices in Australia, Europe and the United States provides critical insights into the development of compliance in today’s financial environment. Financial Compliance: Issues, Concerns and Future Directions provides an invaluable working resource for academics, practitioners and a general audience interested in understanding and developing an effective compliance culture.

Table of Contents

Chapter 1. Understanding Compliance with Laws and Regulations: A Mechanism-Based Approach (Anthony Bottoms)
Chapter 2. Legitimacy and Regulatory Compliance (Justice Tankebe)
Chapter 3. The Uncertain Professional Status of Compliance (James A. Fanto)
Chapter 4. Compliance: From Soft Law to Hard Law-A view from France (Maria Lancri)
Chapter 5. Living with the new General Data Protection Regulation (GDPR) (Mark Foulsham)
Chapter 6. Risk Based Financial Regulation, and Compliance Officer Liability (Stuart Bazley)
Chapter 7. Whistleblowing: The Neglected Facilitator of Compliance (Eva Tsahuridu)
Chapter 8. The Skillset of an Effective Compliance Officer (Maria Krambia-Kapardis)
Chapter 9. Disentangling the Expectation Gap for Compliance Officers (Maria Krambia-Kapardis, Salomi Demetriou and Ioanna Stylianou)
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