Strategies for Compliance: Tools, Techniques and Challenges in Financial Services

Corporate Governance › Law

Strategies for Compliance: Tools, Techniques and Challenges in Financial Services

By Alan Howard Brener
Routledge December 2020

Specifications

ISBN-13
9780367337575
Publisher
Routledge
Publication
December 2020
Format
Paperback , 276 pages
Jurisdiction
International ? Countri(es) for reference only

Details

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 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.

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 Regulators
5. Finding the Right People and the Key Functions of the Compliance Organisation
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
Appendix: List of Abbreviations
Bibliography

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