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New Accountability in Financial Services

2022-01-01 Social Science
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Release : 2022-01-01
Genre : Social Science
Kind : eBook
Book Rating : 154/5 ( reviews)

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Book Synopsis New Accountability in Financial Services by : Joe McGrath

Download or read book New Accountability in Financial Services written by Joe McGrath. This book was released on 2022-01-01. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Conduct and Accountability in Financial Services

2018-11-23 Law
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Release : 2018-11-23
Genre : Law
Kind : eBook
Book Rating : 215/5 ( reviews)

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Book Synopsis Conduct and Accountability in Financial Services by : Stacey English

Download or read book Conduct and Accountability in Financial Services written by Stacey English. This book was released on 2018-11-23. Available in PDF, EPUB and Kindle. Book excerpt: 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.

A Practitioner's Guide to Individual Conduct and Accountability in Financial Services Firms

2016-06-24 Banking law
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Release : 2016-06-24
Genre : Banking law
Kind : eBook
Book Rating : 730/5 ( reviews)

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Book Synopsis A Practitioner's Guide to Individual Conduct and Accountability in Financial Services Firms by : Peter Snowdon

Download or read book A Practitioner's Guide to Individual Conduct and Accountability in Financial Services Firms written by Peter Snowdon. This book was released on 2016-06-24. Available in PDF, EPUB and Kindle. Book excerpt: This title gives detailed and practical guidance on the new rules governing the conduct and behaviour of individuals in financial institutions, from obtaining approval through to supervision, enforcement and liability. Separate chapters will deal with different classes of individual, and the text will include checklists and case studies

Conduct and Accountability in Financial Services

2018-11-23 Law
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Release : 2018-11-23
Genre : Law
Kind : eBook
Book Rating : 223/5 ( reviews)

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Book Synopsis Conduct and Accountability in Financial Services by : Stacey English

Download or read book Conduct and Accountability in Financial Services written by Stacey English. This book was released on 2018-11-23. Available in PDF, EPUB and Kindle. Book excerpt: 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.

The Accountability of Financial Sector Supervisors

2005-03 Business & Economics
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Release : 2005-03
Genre : Business & Economics
Kind : eBook
Book Rating : /5 ( reviews)

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Book Synopsis The Accountability of Financial Sector Supervisors by : Eva H. G. Hüpkes

Download or read book The Accountability of Financial Sector Supervisors written by Eva H. G. Hüpkes. This book was released on 2005-03. Available in PDF, EPUB and Kindle. Book excerpt: Policymakers' uneasiness about granting independence to financial sector regulators stems to a large extent from the lack of familiarity with, and elusiveness of, the concept of accountability. This paper gives operational content to accountability and argues that it is possible to do so in a way that encourages and supports agency independence. The paper first elaborates on the role and purposes of accountability. Second, it shows that the unique features of financial sector supervision point to a more complex system of accountability arrangements than, for instance, the conduct of monetary policy. Finally, the paper discusses specific arrangements that can best secure the objectives of accountability and, thus, independence. Our findings have a wider application than financial sector supervision.

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