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Conduct and Accountability in Financial Services, English Stacey


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Цена: 11880.00р.
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Автор: English Stacey
Название:  Conduct and Accountability in Financial Services
ISBN: 9781526505200
Издательство: Bloomsbury Academic
Классификация:



ISBN-10: 1526505207
Обложка/Формат: Paperback
Страницы: 360
Вес: 0.43 кг.
Дата издания: 29.11.2018
Серия: Law & Criminology
Язык: English
Размер: 157 x 247 x 27
Читательская аудитория: Professional and scholarly
Ключевые слова: Financial services industry,Financial law,Banking law,Financial services law & regulation,Insurance law, BUSINESS & ECONOMICS / Industries / Financial Services,LAW / Banking,LAW / Business & Financial,LAW / Insurance
Подзаголовок: A practical guide
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Поставляется из: Англии
Описание: 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.


MiFID II and Private Law: Enforcing EU Conduct of Business Rules

Автор: Federico Della Negra
Название: MiFID II and Private Law: Enforcing EU Conduct of Business Rules
ISBN: 1509925295 ISBN-13(EAN): 9781509925292
Издательство: Bloomsbury Academic
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Цена: 15048.00 р.
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Описание: In the wake of the global financial crisis, investors have suffered significant losses as a result of breaches of conduct of business rules in the distribution of financial instruments. MiFID II introduced new disclosure, distribution and product governance rules to strengthen the protection of investors but, like MiFID I, did not harmonise the civil law consequences for their violation. This book asks whether, in spite of the silence of the EU legislators, the MiFID II conduct of business rules may produce civil law effects, enabling investors to enforce them against investment firms before national courts and alternative dispute resolution (ADR) mechanisms. Building on the case law of the CJEU, the book shows the conditions under which the breach of MiFID II conduct of business rules should give rise to a private law remedy, and what remedies would be compatible with EU law. MiFID II and Private Law is an essential contribution to academic research in EU and financial law and will be a key text for policy-makers and legal practitioners working in the field of investor protection regulation and mis-selling litigation.

Ownership, Financial Accountability and the Law: Transparency Strategies and Counter-Initiatives

Автор: Paul Beckett
Название: Ownership, Financial Accountability and the Law: Transparency Strategies and Counter-Initiatives
ISBN: 1138359882 ISBN-13(EAN): 9781138359888
Издательство: Taylor&Francis
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Цена: 22202.00 р.
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Описание: This book explains why ownership is pivotal to accountability, and what ownership means in common, civil, and Shariah law terms. It looks in detail at State, regional and international transparency strategies and at a global private counter-initiative to promote beneficial ownership avoidance.

Legal and Conduct Risk in the Financial Markets

Автор: McCormick, Roger; Stears, Chris
Название: Legal and Conduct Risk in the Financial Markets
ISBN: 0198749279 ISBN-13(EAN): 9780198749271
Издательство: Oxford Academ
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Цена: 39204.00 р.
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Описание: The third edition of the highly regarded practitioner guide to legal risk includes substantial new coverage of ethics and conduct, expertly appraised against the backdrop of significant change in post-crises financial markets.

English for the Financial Sector Student`s Book

Автор: Ian MacKenzie
Название: English for the Financial Sector Student`s Book
ISBN: 0521547253 ISBN-13(EAN): 9780521547253
Издательство: Cambridge University Press
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Цена: 7973.00 р.
Наличие на складе: Поставка под заказ.

Описание: English for the Financial Sector helps learners to prepare for a career in finance and enables those already working in the industry to improve their financial English.

Managing Privacy through Accountability

Автор: Guagnin
Название: Managing Privacy through Accountability
ISBN: 0230369324 ISBN-13(EAN): 9780230369320
Издательство: Springer
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Цена: 16769.00 р.
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Описание: Draws together contributions from leading figures in the field of surveillance to engage in the discussion of the emergence of accountability as a means to manage threats to privacy. The first of its kind to enrich the debate about accountability and privacy by drawing together perspectives from experienced privacy researchers and policy makers.

McMeel and Virgo on Financial Advice and Financial Products

Автор: McMeel Gerard, Virgo John
Название: McMeel and Virgo on Financial Advice and Financial Products
ISBN: 0198705956 ISBN-13(EAN): 9780198705956
Издательство: Oxford Academ
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Цена: 57024.00 р.
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Описание: The third edition of Financial Advice and Financial Products explains the impact of the Financial Services Act 2012, and the role of the Financial Conduct Authority. Now in hardback, this is the leading work for all those advising on financial services professional negligence claims.

Financial Services Regulation in Practice

Автор: Morris Simon
Название: Financial Services Regulation in Practice
ISBN: 0199688753 ISBN-13(EAN): 9780199688753
Издательство: Oxford Academ
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Цена: 28512.00 р.
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Описание: This book argues that adopting ethnographically oriented perspectives on research into academic writing is a valuable means of deepening understanding of the social influences on language use and individuals` experiences in academic writing contexts, helping to gain insider views of writers` experiences, writing practices, and the contexts in which academic texts are produced and assessed.

Principles of Financial Regulation 1st Edition

Автор: by John Armour (Author), Dan Awrey (Author), Paul
Название: Principles of Financial Regulation 1st Edition
ISBN: 0198786484 ISBN-13(EAN): 9780198786481
Издательство: Oxford Academ
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Цена: 6651.00 р.
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Описание: Examining the subject from a holistic and multidisciplinary perspective, Principles of Financial Regulation considers the underlying policies and the objectives of financial regulation.

Financial Crisis, Corporate Governance, and Bank Capital

Автор: Sanjai Bhagat
Название: Financial Crisis, Corporate Governance, and Bank Capital
ISBN: 1107170648 ISBN-13(EAN): 9781107170643
Издательство: Cambridge Academ
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Цена: 6811.00 р.
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Описание: This book proposes a solution to the `too big to fail` problem that will help to prevent future financial crises through the restructuring of executive incentive programmes. It will be of great value to corporate executives, corporate board members, institutional investors and economic policymakers, as well as students studying finance, economics and law.

Regulation of the EU financial markets :

Автор: Danny Busch (Editor),
Название: Regulation of the EU financial markets :
ISBN: 0198767676 ISBN-13(EAN): 9780198767671
Издательство: Oxford Academ
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Цена: 49104.00 р.
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Описание: A comprehensive reference guide to the Markets in Financial Instruments Directive II (MiFID II), combining theoretical and practical perspectives to cover all aspects of this important legislation.

The Future of Financial Regulation

Автор: Johan A. Lybeck
Название: The Future of Financial Regulation
ISBN: 1107106850 ISBN-13(EAN): 9781107106857
Издательство: Cambridge Academ
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Цена: 16157.00 р.
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Описание: Johan A. Lybeck uses European and American case studies to review thirty bank resolutions from the last financial crisis and to outline the requirements for successful bank resolutions in the future. Via in-depth analysis of recent legislation, he emphasizes the need for taxpayer-funded bail-outs to create a viable banking system.

The Oxford handbook of financial regulation

Автор: Niamh Moloney, Eilis Ferran, Jennifer Payne
Название: The Oxford handbook of financial regulation
ISBN: 019968720X ISBN-13(EAN): 9780199687206
Издательство: Oxford Academ
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Цена: 21384.00 р.
Наличие на складе: Поставка под заказ.

Описание: The Oxford Handbook of Financial Regulation is the first comprehensive, state of the art survey of the nature and function of financial regulation. Written by an international team of leading scholars in the field, it takes a contextual and comparative approach to examine scholarly, policy, and regulatory developments in the past three decades.


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