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Conduct and Accountability in Financial Services: A Practical Guide
Paperback
ISBN13: 9781526505200
Publisher: Tottel Publishing
Published: Nov 29 2018
Pages: 360
Weight: 1.65
Height: 1.10 Width: 6.10 Depth: 9.70
Language: English
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) beingAnalysis 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. This title is included in Bloomsbury Professional's Banking and Finance online service.
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