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Author : David Michael Berman
Publisher : Unknown
Page : 210 pages
File Size : 49,8 Mb
Release : 2017
Category : Financial services industry
ISBN : 0414063864
Author : Joe McGrath,Ciaran Walker
Publisher : Springer Nature
Page : 234 pages
File Size : 53,7 Mb
Release : 2022-01-01
Category : Social Science
ISBN : 9783030887155
This book is a critical examination of recently introduced individual accountability regimes that apply to the financial services industry in the UK (SMCR) and Australia (BEAR and the forthcoming FAR), together with a forthcoming new individual accountability regime ( in particular, SEAR) in Ireland. It provides a framework for analysing whether these regimes will achieve behavioural change in the financial services industry. This book argues that, whilst sanctioning individuals to deter future misconduct is an important part of any successful regulatory strategy, the focus should be on ensuring that individuals in the financial services industry internalise the norms of behaviour expected under the new regimes. In this regard, the analysis in this book is informed by criminological theory, regulatory theory and behavioural science. The work also argues for a “trajectory towards professionalisation” of financial services, and banking in particular, as an important means of positively influencing industry-wide norms of behaviour, which have a key influence on firms’ and individuals’ behaviours.
Author : David Michael Berman
Publisher : Unknown
Page : 0 pages
File Size : 40,8 Mb
Release : 2014
Category : Bank directors
ISBN : OCLC:1412559535
Author : Stacey English,Susannah Hammond
Publisher : Bloomsbury Publishing
Page : 359 pages
File Size : 50,5 Mb
Release : 2018-11-23
Category : Law
ISBN : 9781526505224
Are you fully prepared for the implementation of the Senior Managers and Certification Regime across financial services firms and the related regulatory scrutiny on conduct and accountability? The 2008 financial crisis sparked major changes in global financial services regulation with attention and resources focused on the behaviour of firms and senior individuals and how they conduct their business. Regulatory reforms have been designed and implemented globally to address accountability and conduct in financial services. In the UK this has resulted in the Senior Managers and Certification Regime (SM&CR) being implemented across all FSMA-regulated firms. Conduct and Accountability in Financial Services: A Practical Guide provides comprehensive and expert guidance on how best to implement and comply with the SM&CR. In addition to acting as a guide to rule book requirements and regulatory expectations, it provides an in-depth look at the implications of the global focus on culture and conduct risk. A must-read text for all staff in UK financial services firms, professional associations, industry bodies, regulators, academics and advisers to financial services organisations, it covers: The context and regulatory basis for SM&CR including an overview of the development and roll-out of the regime Analysis of key changes from the previous 'approved person' approach Practical considerations for HR, internal audit and non-executive directors The increasing role of culture and conduct risk A practical overview of enforcement, penalties and learning lessons from enforcement actions Overarching principles of how to manage personal regulatory risk Regulatory relationship management The impact of technology An overview of related global developments Appendices with timeline, bibliography and a selection of other useful sources for senior managers Conduct and Accountability in Financial Services: A Practical Guide is on the syllabus reading list for the Regulation and Compliance exam offered by the Chartered Institute of Securities and Investments.
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Financial Institutions and Consumer Protection
Publisher : Unknown
Page : 114 pages
File Size : 47,7 Mb
Release : 2013
Category : Bank examination
ISBN : MINN:31951D036471826
Author : John Cunningham
Publisher : Bloomsbury Publishing
Page : 416 pages
File Size : 46,7 Mb
Release : 2017-09-16
Category : Business & Economics
ISBN : 9781137432414
Accompanying online resources for this title can be found at bloomsburyonlineresources.com/strategic-human-resource-management. These resources are designed to support teaching and learning when using this textbook and are available at no extra cost.
Author : Mike Evans
Publisher : John Wiley & Sons
Page : 192 pages
File Size : 48,5 Mb
Release : 2017-01-17
Category : Business & Economics
ISBN : 9781119314103
ACCOUNTABILITY IS THE CATALYST THAT IGNITES: Accelerated Change, Robust Employee Engagement, Intensified Ownership, Relentless Perseverance, Impeccable Alignment, and propels individuals, teams and organizations to desired results. Accountability crumbles silos, boosts teamwork and collaboration, strengthens camaraderie, creativity, resiliency, agility, trust, and communication Achieve with Accountability presents a recipe for awakening the whatever it takes attitude to achieve what matters most to individuals, teams and organizations. Discover how to transform accountability into a positive, engaging and forward looking experience that will secure your position in the new world of work. Learn how to kick-start a revolution that will blast your team or organization to new heights of success. We are in a brawl with no rules, where the fast, flexible and agile will eat and spit out the slow, over-thinking and complacent. When you relinquish accountability you place your future in the hands of other people or events. It's only by taking accountability and ownership for our circumstances that we can achieve what matters most. Embrace the accountability fundamentals that have helped individuals, teams and organizations for years to achieve and exceed what matters most. With the world coming at us fast and furious every day, it's easy to feel like you've lost control of your own life, your team or your organization. By choosing to take and lead accountability you reclaim control and are able to direct your own destiny. Develop the agility, flexibility and resiliency to adapt and thrive during constant change Foster a can-do, resolute, solutions focus in the face of difficult challenges, obstacles and barriers Eradicate the blame-game and vanquish excuse-making that stifles peak performance Shed feelings of disarray, discomfort, apathy, entitlement, indifference and despair Take control over your circumstances and achieve what matters most Unleash voluntary contributions of discretionary performance that is often left untapped in individuals, teams and organizations Establish unshakable trust and credibility Accountability is a current that feeds into the slipstream of success. Your performance, your decisions, and your results are all your responsibility; when you operate from that premise, magic happens. Achieve with Accountability shows you how to nourish that can-do mindset, so you can begin to achieve what matters most.
Author : Peter Aucoin,Mark D. Jarvis,Canada School of Public Service
Publisher : Unknown
Page : 116 pages
File Size : 41,8 Mb
Release : 2005
Category : Administrative agencies
ISBN : MINN:31951D027401729
This publication examines the basic architecture of accountability in the Canadian system of governance and public administration in the light of changes in the practice of governance and public administration. This architecture is built upon the foundation of "responsible government," the constitutional convention that provides the democratic basis of the Canadian system of parliamentary government.
Author : Anonim
Publisher : Unknown
Page : 352 pages
File Size : 46,6 Mb
Release : 1995
Category : Education
ISBN : MINN:30000005557057
Author : Suzanne Ffolkes-Goldson
Publisher : Routledge
Page : 257 pages
File Size : 40,5 Mb
Release : 2015-10-05
Category : Law
ISBN : 9781317638018
Corporate governance initiatives have been developing at a rapid pace in the Commonwealth Caribbean through legislation, case law and codes. Commonwealth Caribbean Corporate Governance offers an overview of current practice and legal developments in corporate governance, highlighting the interpretation of the legislation through case law and the codes of corporate governance which have now been implemented. It also considers the challenges which emerging markets face in an attempt to adopt the corporate governance initiatives of developed markets. This text explores the emergence and development of corporate governance in the region from a range of angles, including the protection and empowerment of shareholders, the impact on government agencies, and the role and responsibilities of directors and officers in companies and in government agencies. Written by a panel of academics, legal practitioners and experts working in business, this book will be an invaluable resource for judges, lawyers, corporate executives and students of business, corporate law and corporate management.
Author : Helen Wong MBE
Publisher : Bloomsbury Publishing
Page : 732 pages
File Size : 44,9 Mb
Release : 2018-09-28
Category : Law
ISBN : 9781526505873
Implementing appropriate security measures will be an advantage when protecting organisations from regulatory action and litigation in cyber security law: can you provide a defensive shield? Cyber Security: Law and Guidance provides an overview of legal developments in cyber security and data protection in the European Union and the United Kingdom, focusing on the key cyber security laws and related legal instruments, including those for data protection and payment services. Additional context is provided through insight into how the law is developed outside the regulatory frameworks, referencing the 'Consensus of Professional Opinion' on cyber security, case law and the role of professional and industry standards for security. With cyber security law destined to become heavily contentious, upholding a robust security framework will become an advantage and organisations will require expert assistance to operationalise matters. Practical in approach, this comprehensive text will be invaluable for legal practitioners and organisations. It covers both the law and its practical application, helping to ensure that advisers and organisations have effective policies and procedures in place to deal with cyber security. Topics include: - Threats and vulnerabilities - Privacy and security in the workplace and built environment - Importance of policy and guidance in digital communications - Industry specialists' in-depth reports - Social media and cyber security - International law and interaction between states - Data security and classification - Protecting organisations - Cyber security: cause and cure Cyber Security: Law and Guidance is on the indicative reading list of the University of Kent's Cyber Law module.
Author : Anonim
Publisher : Unknown
Page : 692 pages
File Size : 54,9 Mb
Release : 2006-09
Category : Finance
ISBN : STANFORD:36105123032687
Author : United States. Congress. House. Select Committee on Homeland Security
Publisher : Unknown
Page : 64 pages
File Size : 52,6 Mb
Release : 2005
Category : Political Science
ISBN : STANFORD:36105050396493
Author : Gary Hamel,C. K. Prahalad
Publisher : Harvard Business Press
Page : 384 pages
File Size : 45,7 Mb
Release : 1996-03-21
Category : Business & Economics
ISBN : 9781422131800
New competitive realities have ruptured industry boundaries, overthrown much of standard management practice, and rendered conventional models of strategy and growth obsolete. In their stead have come the powerful ideas and methodologies of Gary Hamel and C.K. Prahalad, whose much-revered thinking has already engendered a new language of strategy. In this book, they develop a coherent model for how today's executives can identify and accomplish no less than heroic goals in tomorrow's marketplace. Their masterful blueprint addresses how executives can ease the tension between competing today and clearing a path toward leadership in the future.
Author : David A. Zimmerman
Publisher : Univ of North Carolina Press
Page : 312 pages
File Size : 51,7 Mb
Release : 2006-12-08
Category : Literary Criticism
ISBN : 9780807877364
During the economic depression of the 1890s and the speculative frenzy of the following decade, Wall Street, high finance, and market crises assumed unprecedented visibility in the United States. Fiction writers published scores of novels in the period that explored this new cultural phenomenon. In Panic!, David A. Zimmerman studies how American novelists and their readers imagined--and in one case, incited--market crashes and financial panics. Panic! examines how Americans' attitudes toward securities markets, popular investment, and financial catastrophe were entangled with their conceptions of gender, class, crowds, corporations, and history. Zimmerman investigates how writers turned to mob psychology, psychic investigations, and conspiracy discourse to understand not only how financial markets worked, but also how mass acts of financial reading, including novel reading, could trigger economic disaster and cultural chaos. In addition, Zimmerman shows how, by concentrating on markets in crisis, novelists were able to explore the limits of fiction's aesthetic, economic, and ethical capacities. With readings of canonical as well as lesser-known novelists, Zimmerman provides an original and wide-ranging analysis of the relation between fiction and financial modernity.