Strategies For Compliance

Author : Alan Brener
Publisher : Routledge
Page : 299 pages
File Size : 49,6 Mb
Release : 2020-12-20
Category : Business & Economics
ISBN : 9781000320244

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Strategies for Compliance by Alan Brener Pdf

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 the 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.

Author : Martin T. Biegelman
Publisher : John Wiley & Sons
Page : 320 pages
File Size : 55,8 Mb
Release : 2008-06-20
Category : Business & Economics
ISBN : 9780470278406

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Building a World-Class Compliance Program by Martin T. Biegelman Pdf

Written by a long-standing practitioner in the field, this timely and critical work is your best source for understanding all the complex issues and requirements associated with corporate compliance. It provides clear guidance for those charged with protecting their companies from financial and reputational risk, litigation, and government intervention, who want a robust guide to establish an effective compliance program.

Author : Terry Wireman
Publisher : Industrial Press Inc.
Page : 362 pages
File Size : 51,7 Mb
Release : 2003
Category : Business & Economics
ISBN : 0831131276

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Maintenance Management and Regulatory Compliance Strategies by Terry Wireman Pdf

Regulatory agencies and their requirements.

Author : Andreas von Staden
Publisher : University of Pennsylvania Press
Page : 349 pages
File Size : 49,9 Mb
Release : 2018-05-02
Category : Law
ISBN : 9780812295153

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Strategies of Compliance with the European Court of Human Rights by Andreas von Staden Pdf

In Strategies of Compliance with the European Court of Human Rights, Andreas von Staden looks at the nature of human rights challenges in two enduring liberal democracies—Germany and the United Kingdom. Employing an ambitious data set that covers the compliance status of all European Court of Human Rights judgments rendered until 2015, von Staden presents a cross-national overview of compliance that illustrates a strong correlation between the quality of a country's democracy and the rate at which judgments have met compliance. Tracing the impact of violations in Germany and the United Kingdom specifically, he details how governments, legislators, and domestic judges responded to the court's demands for either financial compensation or changes to laws, policies, and practices. Framing his analysis in the context of the long-standing international relations debate between rationalists who argue that actions are dictated by an actor's preferences and cost-benefit calculations, and constructivists, who emphasize the influence of norms on behavior, von Staden argues that the question of whether to comply with a judgment needs to be analyzed separately from the question of how to comply. According to von Staden, constructivist reasoning best explains why Germany and the United Kingdom are motivated to comply with the European Court of Human Rights judgments, while rationalist reasoning in most cases accounts for how these countries bring their laws, policies, and practices into sufficient compliance for their cases to be closed. When complying with adverse decisions while also exploiting all available options to minimize their domestic impact, liberal democracies are thus both norm-abiding and rational-instrumentalist at the same time—in other words, they choose their compliance strategies rationally within the normative constraint of having to comply with the Court's judgments.

Author : Andreas von Staden
Publisher : University of Pennsylvania Press
Page : 352 pages
File Size : 43,5 Mb
Release : 2018-06-11
Category : Law
ISBN : 9780812250282

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Strategies of Compliance with the European Court of Human Rights by Andreas von Staden Pdf

In Strategies of Compliance with the European Court of Human Rights, Andreas von Staden traces the impact of human rights violations in Germany and the United Kingdom and details how governments, legislators, and domestic judges responded to the court's demands for either financial compensation or changes to laws, policies, and practices.

Author : Annie Mills,Peter Haines
Publisher : John Wiley & Sons
Page : 400 pages
File Size : 48,8 Mb
Release : 2015-10-08
Category : Business & Economics
ISBN : 9781118906194

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Essential Strategies for Financial Services Compliance by Annie Mills,Peter Haines Pdf

A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.

Author : Tanya McCartney
Publisher : Bookbaby
Page : 0 pages
File Size : 53,7 Mb
Release : 2020-01-07
Category : Business & Economics
ISBN : 1543992757

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Strategies for Success by Tanya McCartney Pdf

The role of the compliance professional in the financial services industry is of critical importance. It can make the difference between having a licence to facilitate business and being caught in a scandal which threatens the very survival of a firm. Financial instutions are mandated by law to have qualified persons serve in senior leadership positions such as the BSA Officer, Money Laundering Reporting and Compliance Officer. These roles require technical competence with a clear understanding of the law and regulations, company policy and procedures as well as global trends impacting the business. Equally important are the key leadership skills needed to succeed in such a role. Technical skills are simply not enough. A successful compliance professional is a leader who can build relationships, inspire a team and add value in the creation of a culture of compliance.This book is for persons who are in an anti-money laundering position, engaged in any way in the fight against financial crime or responsible for regulatory compliance. It is a practical guide for the compliance professional to aid in navigating the challenges which they face daily in risk management and mitigation. It is an effective resource that can be used when having to make difficult decisions or engaging in challenging conversations with colleagues. It should be your go-to when faced with a leadership challenge in your role.Sharpen your skills to perform roles and responsibilities as it relates to the compliance function. This resource is a useful and strategic guide for individuals wishing to enter the compliance field and those desiring to excel within the field. It answers the "how" in becoming a strong compliance leader and executing your mandate while cultivating the respect of your peers and those in the regulatory environment.

Author : United States. Congress. House. Committee on Commerce. Subcommittee on Oversight and Investigations
Publisher : Unknown
Page : 80 pages
File Size : 52,6 Mb
Release : 1998
Category : Nature
ISBN : PSU:000033099378

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States' Alternative Environmental Compliance Strategies by United States. Congress. House. Committee on Commerce. Subcommittee on Oversight and Investigations Pdf

Author : Alan D. Bernstein,Robert A. Lowrey
Publisher : Unknown
Page : 214 pages
File Size : 41,7 Mb
Release : 1978
Category : Pesticides
ISBN : MINN:31951P00994926W

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Methodology for Designing Cost-effective Monitoring and Compliance Strategies for Pesticide Use by Alan D. Bernstein,Robert A. Lowrey Pdf

Author : Guido Reinke
Publisher : Gold Rush Publishing
Page : 298 pages
File Size : 52,6 Mb
Release : 2015-07-31
Category : Business & Economics
ISBN : 1908585056

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The Regulatory Compliance Matrix: Regulation of Financial Services, Information and Communication Technology, and Generally Related Matters by Guido Reinke Pdf

This exceptional guidebook is ideal for industry professionals, regulators and scholars in the domain of regulatory governance. The Regulatory Compliance Matrix with more than 2500 entries brings clarity to a domain which is widely considered to be complex, unstructured, and in constant flux. It is a compendious guide to the laws, regulations, standards, and recommendations applicable to compliance programmes. What practitioners find in this book will empower them to save money, man-hours, and consultancy interventions. Inside, the reader will find the following key resources: Regulatory Compliance Matrix: a synopsis of the principal domains of applicable regulation, setting forth legal norms, ancillary standards and guidelines. This Matrix covers the laws and regulations specific to financial services (Part I) and information and communications technology (Part II) at the global and European as well at the UK national and sub-national level. Part III of the Matrix covers generally applicable regulatory domains like corporate governance, consumer protection and employment law, information security, data protection and electronic commerce. Regulatory authorities: a comprehensive listing with descriptions of authorities who define the regulatory agenda. Weblinks are provided for each authority, which enables the reader to access the latest regulatory developments and updates. Overview of the conduct of effective compliance programmes: a pragmatic approach to the entire process, from scoping and prioritisation, conducting risk assessments, defining control activities and reporting requirements; to undertaking effectiveness reviews, documenting findings and making recommendations; to assessing compliance maturity and creating action plans. Non-compliance costs checklist: a detailed list of financial, operational, personal, and regulatory risks. This will assist readers with risk assessment and prioritisation of compliance domains."

Author : Kristy Grant-Hart
Publisher : Unknown
Page : 114 pages
File Size : 52,6 Mb
Release : 2017
Category : Business planning
ISBN : 0993478832

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Wildly Strategic Compliance Officer Workbook by Kristy Grant-Hart Pdf

The Wildly STRATEGIC Compliance Officer Workbook will transform you into an in-demand business asset using the secrets of strategy and planning. Through expert advice, exercises, quizzes and examples, you'll finally be able to answer the compliance profession's most vexing questions, including: Where do I start when designing or updating the compliance program? How do I prioritize when there are so many issues, needs and expectations? How do I get buy-in from the C-Suite, Board and managers for my program? By the time you've completed the Wildly STRATEGIC Compliance Officer Workbook, you'll have in your hands: A thorough mapping of the risks facing your business, and a diagram of how to manage those risks within the compliance function and with the other functions of the business. A top-notch, tested Three-Year Plan and Planning Document. An ordered, specific, achievable set of One-Year Goals. Your very own monthly Compliance Dashboard and more! If you feel like all you do is fight fires and you're ready to take control of your career, the Wildly STRATEGIC Compliance Officer Workbook is for you!

Author : Sharon Oded
Publisher : Edward Elgar Publishing
Page : 337 pages
File Size : 49,9 Mb
Release : 2013-01-01
Category : Law
ISBN : 9781781954751

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Corporate Compliance by Sharon Oded Pdf

How to induce corporate compliance with regulations? Harsh punishments will cause companies to disguise violations, and mild punishments will cause companies to report their violations and make weak efforts to avoid them. In this book, Sharon Oded canvasses the history of thinking about corporate compliance, and he proposes his own candidate for the best law. This is a sophisticated account of legal incentives that will repay any reader interested in corporate compliance. Robert Cooter, University of California, Berkeley, US The effective control of corporate misconduct is a vital but elusive task for regulators, given the complexity of organization structures and the need to find the right balance between deterrent- and cooperative-based enforcement policies. In this powerful and comprehensive study, Sharon Oded argues for combining different approaches and boldly advocates, in particular, the use of third-party independent corporate monitoring firms to implement self-policing strategies. This will be essential reading for those involved in the theory or practice of regulatory corporate enforcement. Anthony Ogus, University of Manchester, UK and University of Rotterdam, The Netherlands This book considers how a regulatory enforcement policy should be designed to efficiently induce proactive corporate compliance. It first explores two major schools of thought regarding law enforcement, both the deterrence and cooperative approaches, and shows that neither of these represents an optimal regulatory enforcement paradigm from a social welfare perspective. It provides a critical analysis of recent developments in US Federal corporate liability regimes, and proposes a generic framework that better tailors sanction schemes and monitoring systems to regulatee performance. The proposed framework efficiently induces corporate proactive compliance, while maintaining an optimal level of deterrence. This insightful book will appeal to academics in law and economics, behavioral economics, criminology, and business, as well as to practitioners and policymakers.

Author : Stefano Manacorda,Francesco Centonze
Publisher : Springer Nature
Page : 370 pages
File Size : 42,5 Mb
Release : 2021-11-25
Category : Social Science
ISBN : 9783030816551

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Corporate Compliance on a Global Scale by Stefano Manacorda,Francesco Centonze Pdf

This edited volume presents an innovative and critical analysis of corporate compliance from an interdisciplinary and international perspective. It defines the historical framework and the various roles played by corporate compliance in today's context. It questions how different cultures affect economic behaviors and under which conditions the individual choices may be directed toward law-abiding behavior. Examining corporate compliance as a tool of criminal and regulatory policy strategies in different countries and sectors, this book also aims to provide a picture of the dimension and scope of the public-private partnership, focusing on the prevention and detection of corporate crimes. It analyzes the effects of corporate compliance on the internal organization in terms of cost-benefit assessment, as well as the opportunities in technical innovation for detecting and controlling risk.

Author : Mike Koehler
Publisher : Edward Elgar Publishing
Page : 384 pages
File Size : 46,5 Mb
Release : 2018-11-30
Category : Business & Economics
ISBN : 9781788114936

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Strategies for Minimizing Risk Under the Foreign Corrupt Practices Act and Related Laws by Mike Koehler Pdf

In the minds of some, complying with the US Foreign Corrupt Practices Act and related laws such as the UK Bribery Act is easy: 'you just don't bribe'. The reality, as sophisticated professionals know, is not so simple. This book is for professionals across various disciplines who recognize the difficulties of compliance and want to learn strategies for minimizing risk under aggressively enforced corporate bribery laws. The book uses issue-spotting scenarios to present risk and guides professionals through various components of compliance best practices from the fundamentals of conducting a risk assessment and effectively communicating compliance expectations, to implementing and overseeing compliance strategies.

Author : Anonim
Publisher : DIANE Publishing
Page : 54 pages
File Size : 50,9 Mb
Release : 2004
Category : Electronic
ISBN : 9781428938830

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Workplace safety and health OSHA's voluntary compliance strategies show promising results, but should be fully evaluated before they are expanded by Anonim Pdf