Download or read book The Changing Face of Compliance Compliance context written by Sharon Ward (Financial regulatory compliance specialist) and published by . This book was released on 2016 with total page 302 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book The Changing Face of Compliance written by Sharon Ward and published by Routledge. This book was released on 2016-04-01 with total page 424 pages. Available in PDF, EPUB and Kindle. Book excerpt: In the current business climate the impact of the volume and nature of regulatory change and the regulatory risk arising from this is a significant business risk for regulated firms and regulators alike. As a consequence, management of this risk is increasingly high on the board agenda of regulated firms, with those business functions whose activities support this, such as Compliance, facing increasing levels of challenge in their efforts to be effective. The Changing Face of Compliance addresses core aspects of this challenge, considering the relationship between regulation and compliance and key influences on both, offering insight into the effectiveness of current approaches and addressing practical compliance challenges. Sharon Ward explains how the role of Compliance might be strengthened and those who work within it further enabled to support the current focus on improving standards in business, offering recommendations for enhancing this role. The text includes a mix of hands-on advice, examples and research based on the experiences of practitioners, educators and regulators drawn from across a wide range of jurisdictions and sectors. This is a thoughtful and timely book, whether you are concerned about the growing and changing implications of regulatory risk; the benefit of leveraging additional value from your Compliance function or your own Compliance role; or ways of transforming and sustaining the function to ensure its continued relevance to the business.
Download or read book The Changing Face of Compliance written by Sharon Ward and published by Routledge. This book was released on 2016-04-01 with total page 302 pages. Available in PDF, EPUB and Kindle. Book excerpt: In the current business climate the impact of the volume and nature of regulatory change and the regulatory risk arising from this is a significant business risk for regulated firms and regulators alike. As a consequence, management of this risk is increasingly high on the board agenda of regulated firms, with those business functions whose activities support this, such as Compliance, facing increasing levels of challenge in their efforts to be effective. The Changing Face of Compliance addresses core aspects of this challenge, considering the relationship between regulation and compliance and key influences on both, offering insight into the effectiveness of current approaches and addressing practical compliance challenges. Sharon Ward explains how the role of Compliance might be strengthened and those who work within it further enabled to support the current focus on improving standards in business, offering recommendations for enhancing this role. The text includes a mix of hands-on advice, examples and research based on the experiences of practitioners, educators and regulators drawn from across a wide range of jurisdictions and sectors. This is a thoughtful and timely book, whether you are concerned about the growing and changing implications of regulatory risk; the benefit of leveraging additional value from your Compliance function or your own Compliance role; or ways of transforming and sustaining the function to ensure its continued relevance to the business.
Download or read book The Changing Function of Compliance written by Sharon Ward and published by Taylor & Francis. This book was released on 2023-09-18 with total page 299 pages. Available in PDF, EPUB and Kindle. Book excerpt: As risks arising within the business environment grow in size and complexity, so too do the regulatory requirements put in place to manage them. The pace of regulatory change is itself a significant business risk, and compliance departments are under increasing pressure to keep up with the change and adapt their organisations accordingly. This new edition of what has become an indispensable guide to regulation compliance brings readers up to date with changing areas of focus and provides guidance for regulated firms and regulators alike. The Changing Function of Compliance considers the relationship between regulation and compliance as well as key influences on both, offering insight into the effectiveness of current approaches and addressing practical compliance challenges. It explains the purpose and development of regulatory risk management and the existing regulatory environment, and provides a detailed exploration of the compliance function, explaining how the role might be strengthened and how best to approach the role to enable it to be effective. This practical and accessible handbook includes a mix of hands-on advice, examples and research based on the experiences of practitioners, educators and regulators drawn from across a wide range of jurisdictions and sectors. This book is an essential read, whether you are concerned about the growing and changing implications of regulatory risk, the benefit of leveraging additional value from your compliance function or your own compliance role or ways of transforming and sustaining the function to ensure its continued relevance to the business.
Download or read book The Cambridge Handbook of Compliance written by Benjamin van Rooij and published by Cambridge University Press. This book was released on 2021-05-20 with total page 1559 pages. Available in PDF, EPUB and Kindle. Book excerpt: Compliance has become key to our contemporary markets, societies, and modes of governance across a variety of public and private domains. While this has stimulated a rich body of empirical and practical expertise on compliance, thus far, there has been no comprehensive understanding of what compliance is or how it influences various fields and sectors. The academic knowledge of compliance has remained siloed along different disciplinary domains, regulatory and legal spheres, and mechanisms and interventions. This handbook bridges these divides to provide the first one-stop overview of what compliance is, how we can best study it, and the core mechanisms that shape it. Written by leading experts, chapters offer perspectives from across law, regulatory studies, management science, criminology, economics, sociology, and psychology. This volume is the definitive and comprehensive account of compliance.
Download or read book Enterprise Compliance Risk Management written by Saloni Ramakrishna and published by John Wiley & Sons. This book was released on 2015-09-04 with total page 320 pages. Available in PDF, EPUB and Kindle. Book excerpt: The tools and information that build effective compliance programs Enterprise Compliance Risk Management: An Essential Toolkit for Banks and Financial Services is a comprehensive narrative on managing compliance and compliance risk that enables value creation for financial services firms. Compliance risk management, a young, evolving yet intricate discipline, is occupying center stage owing to the interplay between the ever increasing complexity of financial services and the environmental effort to rein it in. The book examines the various facets of this layered and nuanced subject. Enterprise Compliance Risk Management elevates the context of compliance from its current reactive stance to how a proactive strategy can create a clear differentiator in a largely undifferentiated market and become a powerful competitive weapon for organizations. It presents a strong case as to why it makes immense business sense to weave active compliance into business model and strategy through an objective view of the cost benefit analysis. Written from a real-world perspective, the book moves the conversation from mere evangelizing to the operationalizing a positive and active compliance management program in financial services. The book is relevant to the different stakeholders of the compliance universe - financial services firms, regulators, industry bodies, consultants, customers and compliance professionals owing to its coverage of the varied aspects of compliance. Enterprise Compliance Risk Management includes a direct examination of compliance risk, including identification, measurement, mitigation, monitoring, remediation, and regulatory dialogue. With unique hands-on tools including processes, templates, checklists, models, formats and scorecards, the book provides the essential toolkit required by the practitioners to jumpstart their compliance initiatives. Financial services professionals seeking a handle on this vital and growing discipline can find the information they need in Enterprise Compliance Risk Management. Enterprise Compliance Risk Management: An Essential Toolkit for Banks and Financial Services is a comprehensive narrative on managing compliance and compliance risk that enables value creation for financial services firms. Compliance risk management, a young, evolving yet intricate discipline, is occupying center stage owing to the interplay between the ever increasing complexity of financial services and the environmental effort to rein it in. The book examines the various facets of this layered and nuanced subject. Enterprise Compliance Risk Management elevates the context of compliance from its current reactive stance to how a proactive strategy can create a clear differentiator in a largely undifferentiated market and become a powerful competitive weapon for organizations. It presents a strong case as to why it makes immense business sense to weave active compliance into business model and strategy through an objective view of the cost benefit analysis. Written from a real-world perspective, the book moves the conversation from mere evangelizing to the operationalizing a positive and active compliance management program in financial services. The book is relevant to the different stakeholders of the compliance universe - financial services firms, regulators, industry bodies, consultants, customers and compliance professionals owing to its coverage of the varied aspects of compliance. Enterprise Compliance Risk Management includes a direct examination of compliance risk, including identification, measurement, mitigation, monitoring, remediation, and regulatory dialogue. With unique hands-on tools including processes, templates, checklists, models, formats and scorecards, the book provides the essential toolkit required by the practitioners to jumpstart their compliance initiatives. Financial services professionals seeking a handle on this vital and growing discipline can find the information they need in Enterprise Compliance Risk Management.
Download or read book United States Attorneys Manual written by United States. Department of Justice and published by . This book was released on 1988 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book The Director and The Manager written by David S. Fushtey and published by IAP. This book was released on 2019-02-01 with total page 1047 pages. Available in PDF, EPUB and Kindle. Book excerpt: Machiavelli Had it Easy is an engaging text for the emerging discipline of governance. Gaps arise when directors and managers come together from diverse vocational and cultural languages and interests. Compressed information streams in the digital age, yet few reconcile silos of business, legal expertise and regulatory public-interests for informed decisions. This text presents research and a market-tested decision-framework for comparative law, market practice, and human nature in the vital strategic-oversight role of governance. Informed by cognitive science, business practice and legal duties, one conclusion is that bias and self-interests are instinctive but reconciling best-interests is not. Too often lessons learned from centuries of law are overlooked. The chapters are a dozen inquiries into recurring problems in the boardroom. Part one is an entry-level technical reference of law and governance principles. Unique appendices of keywords and case notes will aid those new to markets governed by the western rule-of-law and those tripping on gaps in comparative jargon. Part two is a series of practical hot-topics in the context of law and governance; part three looks to next steps in accountability and liability. The text will help accountants, engineers, lawyers, and business operations and market-policy experts from around the world work together, and; professors, professionals and students anticipate change. After drilling through accountability and liability for hybrid organizations, typical crises are revealed to be from a lack of aligning interests and related information churn. Conclusions of the how and why of governance systems link the human condition and the rule-of-law in the digital age.
Download or read book Compliance Ethnography written by Yunmei Wu and published by Springer Nature. This book was released on 2021-07-12 with total page 273 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book explores how small businesses respond to the law. By detailing the intricate ways in which businesses come to comply with or violate legal regulations, it shows a very different picture of compliance that completely changes the way we think about how businesses respond to the law, how we can capture such responses, and what explains their behaviors. The book moves us beyond a static and single-perspective approach to compliance, where firms are seen as obeying or breaking a specific rule at a specific point in time. Instead, it offers a dynamic view of compliance as it manifests in daily business, where firms must comply with a host of legal rules and must do so over a long period of time. This timely book is especially valuable to three main groups: to compliance practitioners and regulatory enforcement agents, who are increasingly forced to consider how compliance management and enforcement practices actually affect compliance; to regulatory governance scholars (in public administration, law, sociology, and management science), for whom compliance is a central aspect; and to scholars of Chinese law, who realize that compliance is a central challenge that the Chinese legal system must overcome.
Download or read book Taxing Democracy written by Valerie Braithwaite and published by Routledge. This book was released on 2017-03-02 with total page 323 pages. Available in PDF, EPUB and Kindle. Book excerpt: The integrity of tax systems as we know them are being challenged throughout the world. Tax avoidance schemes of various kinds are proving increasingly attractive and lucrative to wealthy individuals and large corporations. As governments fear the erosion of their tax base among those who are most able to contribute, the public is looking on, as one of its most public institutions attempts to re-invent itself through changing laws and administrative procedures. In this book, a number of experts develop the idea of responsive regulation in relation to taxation. They demonstrate how law in this area is undermining social norms and social norms are undermining law. A key factor in their analysis is the perception of justice. Explanations as to why the integrity of tax systems is under siege, and possible solutions, are examined.
Download or read book Model Rules of Professional Conduct written by American Bar Association. House of Delegates and published by American Bar Association. This book was released on 2007 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Download or read book Today s Public Relations written by Robert L. Heath and published by SAGE Publications. This book was released on 2005-10-19 with total page 561 pages. Available in PDF, EPUB and Kindle. Book excerpt: Today's Public Relations: An Introduction is a comprehensive text that features all aspects of public relations with specific sensitivity to the message strategies that challenge practitioners to be successful, yet ethical. In this book, authors Robert L. Heath and W. Timothy Coombs redefine the teaching of public relations by discussing its connection to mass communication while linking it to its rhetorical heritage. The text features coverage of ethics, research, strategy, planning, evaluation, media selection, promotion and publicity, crisis communication, risk communication, and collaborative decision making as ways to create, maintain, and repair relationships between organizations and the persons who can affect their success.
Download or read book The Promises and Perils of Compliance written by David Arellano-Gault and published by Walter de Gruyter GmbH & Co KG. This book was released on 2023-01-30 with total page 204 pages. Available in PDF, EPUB and Kindle. Book excerpt: In today’s era of increased regulation and renewed enforcement efforts, unethical behavior and misconduct are a focus of concern among not only governments and regulators, but also investors, firms, employees, customers, and the public. Accordingly, compliance programs have gained prominence in the organizational agenda. A properly designed and implemented compliance program provides crucial assurance for all stakeholders that an organization’s personnel abide by all applicable regulations, internal ethical principles, codes of conduct, and other guidelines. Based on empirical experience and illustrative cases, The Promises and Perils of Compliance seeks to discuss compliance not as just another management tool, but rather as a collection of rules, norms and controls embedded into an organization’s culture and environment that must be understood when designing a compliance program. The authors propose that organizations must be transparent at all stages of the design and implementation of the compliance program and be prepared to interpret, adapt, change, and redefine the program in action. It is also important for organizations to set a realistic agenda for the program so that gains can be seen and celebrated by all stakeholders. This book offers a pathway to understanding the organizational dynamics any compliance effort needs to consider. It will benefit business students as well as managers, compliance officers, and CEOs and executives at every level.
Download or read book The Changing Tax Compliance Environment and the Role of Audit written by OECD and published by OECD Publishing. This book was released on 2017-09-29 with total page 96 pages. Available in PDF, EPUB and Kindle. Book excerpt: This report examines how tax compliance strategies are evolving in light of new technologies, data sources and tools and also looks at how these changes might affect the role of audit and auditors in the future.
Download or read book The Changing Face of Corruption in the Asia Pacific written by Chris Rowley and published by Elsevier. This book was released on 2017-05-03 with total page 418 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Changing Face of Corruption in the Asia Pacific: Current Perspectives and Future Challenges is a contemporary analysis of corruption in the Asia-Pacific region. Bringing academicians and practitioners together, contributors to this book discuss the current perspectives of corruption’s challenges in both theory and practice, and what the future challenges will be in addressing corruption’s proliferation in the region. Includes viewpoints from both practitioners and academic contributors on corruption in the Asia Pacific region Offers a strong theoretical background together with the practical experience of contributors Explores what the future challenges will be in addressing corruption’s proliferation in the region Aimed at both the academic and professional audience
Download or read book Disrupting Finance written by Theo Lynn and published by Springer. This book was released on 2018-12-06 with total page 194 pages. Available in PDF, EPUB and Kindle. Book excerpt: This open access Pivot demonstrates how a variety of technologies act as innovation catalysts within the banking and financial services sector. Traditional banks and financial services are under increasing competition from global IT companies such as Google, Apple, Amazon and PayPal whilst facing pressure from investors to reduce costs, increase agility and improve customer retention. Technologies such as blockchain, cloud computing, mobile technologies, big data analytics and social media therefore have perhaps more potential in this industry and area of business than any other. This book defines a fintech ecosystem for the 21st century, providing a state-of-the art review of current literature, suggesting avenues for new research and offering perspectives from business, technology and industry.
Download or read book Ethical Conduct of Clinical Research Involving Children written by Institute of Medicine and published by National Academies Press. This book was released on 2004-07-09 with total page 445 pages. Available in PDF, EPUB and Kindle. Book excerpt: In recent decades, advances in biomedical research have helped save or lengthen the lives of children around the world. With improved therapies, child and adolescent mortality rates have decreased significantly in the last half century. Despite these advances, pediatricians and others argue that children have not shared equally with adults in biomedical advances. Even though we want children to benefit from the dramatic and accelerating rate of progress in medical care that has been fueled by scientific research, we do not want to place children at risk of being harmed by participating in clinical studies. Ethical Conduct of Clinical Research Involving Children considers the necessities and challenges of this type of research and reviews the ethical and legal standards for conducting it. It also considers problems with the interpretation and application of these standards and conduct, concluding that while children should not be excluded from potentially beneficial clinical studies, some research that is ethically permissible for adults is not acceptable for children, who usually do not have the legal capacity or maturity to make informed decisions about research participation. The book looks at the need for appropriate pediatric expertise at all stages of the design, review, and conduct of a research project to effectively implement policies to protect children. It argues persuasively that a robust system for protecting human research participants in general is a necessary foundation for protecting child research participants in particular.
