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
Neate and Godfrey: Bank Confidentiality, 6th Edition
Bloomsbury Professional (formerly Tottel Publishing)

Neate and Godfrey: Bank Confidentiality, 6th Edition

Gwendoline Godfrey
HKD 3,836.00
Trade and Receivables Finance: A Practical Guide to Risk Evaluation and Structuring
Springer-Verlag

Trade and Receivables Finance: A Practical Guide to Risk Evaluation and Structuring

Stephen A. Jones
HKD 864.00
Culture Audit in Financial Services: Reporting on Behaviour to Conduct Regulators
Kogan Page

Culture Audit in Financial Services: Reporting on Behaviour to Conduct Regulators

Roger Miles
HKD 740.87
Basel Committee on Banking Supervision: A Primer on Governance, History, and Legitimacy -- Part I
Brill Academic Publishers

Basel Committee on Banking Supervision: A Primer on Governance, History, and Legitimacy -- Part I

Maziar Peihani
HKD 1,037.40
FCA Building Societies Handbook BSOCS
The Stationery Office (Subscriptions)

FCA Building Societies Handbook BSOCS

Financial Conduct Authority
Financial Services Law Guide, 3rd edition
Bloomsbury Professional (formerly Tottel Publishing)

Financial Services Law Guide, 3rd edition

Andrew Haynes
HKD 1,450.15