The Regulating (from) the Inside: The Legal Framework for Internal Controls in Banks and Financial Institutions

Law › Banking / Finance

The Regulating (from) the Inside: The Legal Framework for Internal Controls in Banks and Financial Institutions

By Iris H-Y Chiu
Hart Publishing January 2018

Specifications

ISBN-13
9781509920099
Publisher
Hart Publishing
Publication
January 2018
Format
Paperback
Jurisdiction
U.K. ? Countri(es) for reference only

Also available as

Hardback

Details

This book examines a key aspect of the post-financial crisis reform package in the EU and UK – the ratcheting up of internal control in banks and financial institutions. The legal framework for internal controls is an important part of prudential regulation, and internal control also constitutes a form of internal gate-keeping for financial firms so that compliance with laws and regulations can be secured.

This book argues that the legal framework for internal control, which is a form of meta-regulation, is susceptible to weaknesses, and such weaknesses are critically examined by adopting an interdisciplinary approach. The book discusses whether post-crisis reforms adequately address the weaknesses in regulating internal control and proposes an alternative strategy to enhance the ‘governance’ effectiveness of internal control.

Table of Contents

Part I: The Elements of Internal Control in Banks and Financial Institutions
1. The Role of Internal Control in the Meta-Regulation of Financial Institutions
2. The Role of Compliance
3. The Role of Risk Management
4. The Role of Internal Audit
5. The Contextual Frameworks of Corporate Governance

Part II: Making Internal Control Effective in Banks and Financial Institutions
6. Regulating Aspects of Corporate Governance and Organisational Culture as a Broader Framework for Internal Control
7. Incentive-Based Approaches to Improve Internal Control Efficacy: Enforcement and Whistle-Blowing
8. The Need for Enhanced Professionalism for Internal Control Functions
9. Concluding Remarks
HKD 504.27 −3%
HKD 519.87

Inclusive of HK delivery

Ready to ship
Delivery Time: around 4 weeks
Extra 2-10 working days if shipping address outside Hong Kong
  • Free HK shipping over HK$1,000
  • International shipping to 35+ countries
Order Form
Save

Recommended

You may also be interested in these books:

More titles from Banking / Finance

View all
Financial Crime in the 21st Century
Edward Elgar Publishing

Financial Crime in the 21st Century

Nicholas Ryder
HKD 1,450.15
Prospectus for the Public Offering of Securities in Europe
Cambridge University Press

Prospectus for the Public Offering of Securities in Europe

Dirk Van Gerven
HKD 1,298.83
Financial Crimes: A Guide to Financial Exploitation in a Digital Age
Springer International

Financial Crimes: A Guide to Financial Exploitation in a Digital Age

Chander Mohan Gupta
HKD 1,462.00
FCA Regulated Covered Bonds RCB
The Stationery Office (Subscriptions)

FCA Regulated Covered Bonds RCB

Financial Conduct Authority
Byles on Bills of Exchange and Cheques 31st Edition Pre-order
Sweet & Maxwell U.K.

Byles on Bills of Exchange and Cheques 31st Edition

Richard Hanke
HKD 4,260.24
Mediating Sovereign Debt Disputes
Springer International

Mediating Sovereign Debt Disputes

Calliope Makedon Sudborough
HKD 1,595.00