Compliance Norms in Financial Institutions
Measures, Case Studies and Best Practices
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Beschreibung
Initially, introducing compliance functions within the financial industry had been forced by regulatory scrutiny. Later, it started to spread to other regulated companies, in particular those publicly listed. Now, compliance has become an asset of corporates that want to build their reliability among clients, shareholders, employees and business partners. This book looks at the efficiency of the compliance measures introduced and the best practices of building compliance norms.
This recently observed practice of compliance was triggered by the expectation of regulators, shareholders, clients, business partners and the public for robust compliance mechanisms. This book looks at the vast interest in this topic among business people who strive to introduce the systems and the mechanisms of non-compliance risk management in their companies and at the uncountable difficulties and obstacles they meet. The book fills the gap of thorough analysis of this subject by pointing out the solutions successfully introduced in global financial organizations, and would be of interest to academics, researchers and practitioners in corporate finance, corporate governance and risk management.Tomasz Braun graduated with his PhD from the Faculty of Law and Administration of Lazarski University, Poland. Since then, he has been a lecturer for courses in corporate law for the same institution. His research areas include banking, finance, M&As and restructuring. Dr. Braun’s professional background also includes consulting in cross-border transactions, post-acquisition integration projects, implementing restructuring programmes and dispute resolutions—as a general counsel in global financial institutions and as a partner in international law firms.Explores how the matrix organisational structure impacts compliance in corporations and what the mechanisms are for cross-border efficiency of compliance normsAssesses and manages the non-compliance "risk appetite" and how compliance can be used as a tool to limit product and process liabilities Includes case studies of major real-life non-compliance examples that resulted in serious fines
Explores how the matrix organisational structure impacts compliance in corporations and what the mechanisms are for cross-border efficiency of compliance norms Assesses and manages the non-compliance "risk appetite" and how compliance can be used as a tool to limit product and process liabilities Includes case studies of major real-life non-compliance examples that resulted in serious fines
Autor*in
Tomasz Braun
Themen in »Compliance Norms in Financial Institutions«
Regulators Internal Compliance Norms Legal Risks Management International Financial Institutions Global Standards and Policies