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Author: Stephen Scott
Publisher: Starling Insights, Inc.
ISBN:
Category : Business & Economics
Languages : en
Pages : 518
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Book Description
Starling is pleased to offer the seventh edition in its annual Compendium series for 2024, a comprehensive report detailing the priorities and activities of bank regulators regarding firm culture and conduct risk management. This year's report features contributions from more than 30 senior banking industry executives, regulators and central bankers, international standard-setters, and academics. We also report on major developments, events, and analysis on culture & conduct risk management supervision across major global financial markets.
Author: Stephen Scott
Publisher: Starling Insights, Inc.
ISBN:
Category : Business & Economics
Languages : en
Pages : 518
Get Book Here
Book Description
Starling is pleased to offer the seventh edition in its annual Compendium series for 2024, a comprehensive report detailing the priorities and activities of bank regulators regarding firm culture and conduct risk management. This year's report features contributions from more than 30 senior banking industry executives, regulators and central bankers, international standard-setters, and academics. We also report on major developments, events, and analysis on culture & conduct risk management supervision across major global financial markets.
Author: Stephen Scott
Publisher: Starling Insights, Inc.
ISBN:
Category : Business & Economics
Languages : en
Pages : 446
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Book Description
The Compendium is a publication of Starling Insights, a membership-based platform that is a resource for and by the community of leaders, experts, and practitioners working to bring new ideas and tools to the governance and supervision of cultural, behavioral, and other nonfinancial risks and performance outcomes. Readers will find discussion throughout this report, in articles by and interviews with dozens of contributors, among them: regulators, supervisors, central bankers and policymakers; standard setting bodies and industry associations; industry executives and peers from other sectors; prominent legal thinkers and practicing attorneys; as well as renowned scholars from various disciplines. We are humbled by their continued collective generosity and hope that our 2023 Compendium is found to be as valuable to readers as its predecessors.
Author: Joe McGrath
Publisher: Springer Nature
ISBN: 3030887154
Category : Social Science
Languages : en
Pages : 234
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Book Description
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:
Publisher:
ISBN: 9781567081664
Category : Bank management
Languages : en
Pages : 78
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Book Description
Author: OECD
Publisher: OECD Publishing
ISBN: 926437647X
Category :
Languages : en
Pages : 108
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Book Description
Using original data collected from governments around the globe, the Consumer Finance Risk Monitor analyses the constantly evolving issues and risks facing consumers of financial products and services.
Author: Thomas Crofts
Publisher: Taylor & Francis
ISBN: 1040229093
Category : Law
Languages : en
Pages : 530
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Book Description
Presenting cutting-edge research and scholarship, this extensive volume covers everything from abstract theorising about the meanings of responsibility and how we blame, to analysing criminal law and justice responses, and factors that impact individual responsibility. Inviting exchanges across a burgeoning critical scholarship on criminal responsibility, this Handbook showcases the diverse range of methodologies applied to the field, including socio-political approaches, critical historical methods, criminological and sociological perspectives, and interdisciplinary studies bridging law and the mind sciences. Spanning global networks of established and emerging scholars of responsibility for crime, this book explores how we relate to one another as human beings under the spotlight of the criminal law. In doing so, it is hoped that the collection not only does justice to the vibrant landscape of criminal responsibility studies, but inspires new directions and future synergies in this compelling field. The Routledge International Handbook of Criminal Responsibility will appeal to scholars and students of criminal law, criminal justice, criminology, sociology, psychology, neuroscience, philosophy, and socio-legal studies, as well as practitioners and policymakers working in related fields.
Author: Roger Miles
Publisher: Kogan Page Publishers
ISBN: 0749478624
Category : Business & Economics
Languages : en
Pages : 312
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Book Description
Conduct risk is at the core of behavioural regulation, a new approach to regulating financial services, whose new agencies and public prosecutors have spread rapidly across the world. Its prosecutors intervene assertively to challenge financial service providers to show clear evidence of a new customer-centric approach, which understands and responds to the hidden drivers of customer behaviour. They use their unprecedented powers to levy very large fines and even to imprison wrongdoers - often for not taking precautions rather than for any active wrongdoing. Conduct Risk Management is a tool for recognizing, acting on, and predicting conduct risk impacts in regulated business. Conduct Risk Management sees beyond econometric and other 'box-ticking' traditions of risk management. Whilst protecting senior managers, it helps all staff to make positive use of conduct risk to promote behaviour the regulator will accept as 'good', as good behaviour is good business. The new conduct regulations personally affect every manager in financial services, and their suppliers, with new regulations making senior managers liable to imprisonment for failures in organizational conduct. Conduct Risk Management sets out plainly what practitioners need to know to understand the regulator's intentions, to prove compliance, protect competitiveness and maintain licence to operate.
Author: Roger Miles
Publisher: Kogan Page Publishers
ISBN: 1789667763
Category : Business & Economics
Languages : en
Pages : 449
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Book Description
In the next wave of conduct regulation in financial markets, from 2021 conduct regulators in the UK and elsewhere expect firms to produce evidence on how they are improving behaviour and culture. Facing this, many practitioners are anxious that their current reporting and management information (MI) are irrelevant to meeting as-yet unclear regulatory expectations. This book provides the insights and tools firms need to report on culture, securing both enhanced business value and the regulator's approval. Culture is now seen as a key contributor to good governance, feeding into existing discourse on environmental, social and governance (ESG) factors and the emerging dialogue on 'non-financial (mis)conduct', but conventional measures of business quality are unfit for the new reporting agenda. Culture Audit in Financial Services follows the arc of 'behavioural regulation' to examine what the regulator really wants, before offering guidance on how culture audit differs from conventional auditing, how to put the latest pure-research findings to work, and the key features of well-designed conduct and culture reports. Written by an impartial author and a variety of contributors with extensive experience working with practitioners, regulators, and many of the world's finest academic initiatives, this book is filled with practical, grounded advice on how best to approach this new challenge and avoid infractions.
Author: Tara J. Shawver
Publisher: Emerald Group Publishing
ISBN: 1835497721
Category : Business & Economics
Languages : en
Pages : 176
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Book Description
Research on Professional Responsibility and Ethics in Accounting Volume 26 explores many aspects across professional responsibility and ethics in accounting, including changing auditing approaches, whistleblowing, fraudulent practices, the impact of communications, and the impact Covid-19 has had on corporate social responsibility.
Author: Elena Pykhova
Publisher: Kogan Page Publishers
ISBN: 1398617180
Category : Business & Economics
Languages : en
Pages : 465
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Book Description
Technology failures, data loss, issues with providers of outsourced services, misconduct and mis-selling are just some of the top risks that the financial industry faces. Operational risk management is, simply, a commercial necessity. The management of operational risk has developed considerably since its early years. Continued regulatory focus and catastrophic industry events have led to operational risk becoming a crucial topic on any senior management team's agenda. This book is a practical guide for practitioners which focuses on how to establish effective solutions, avoid common pitfalls and apply best practice to their organizations. Filled with frameworks, examples and diagrams, this book offers clear advice on key practices including conducting risk assessments, assessing change initiatives and designing key risk indicators. This new edition of Operational Risk Management in Financial Services also features two new chapters reflecting on the future of operational risk management, from cyber risk to GenAI, and guides practitioners in incorporating ESG into their day-to-day strategies. This is the essential guide for professionals looking to derive value out of operational risk management, rather than applying a compliance 'tick box' approach.
