03215nam 22005651 450 991051148860332120200514202323.01-78225-769-11-5099-0138-810.5040/9781782257691(CKB)3710000000478527(EBL)4000399(SSID)ssj0001574714(PQKBManifestationID)16232491(PQKBTitleCode)TC0001574714(PQKBWorkID)14844776(PQKB)10435135(MiAaPQ)EBC4000399(OCoLC)921986058(UtOrBLW)bpp09259696(EXLCZ)99371000000047852720160203d2015 uy 0engur|n|---|||||txtccrRegulating (from) the inside the legal framework for internal control in banks and financial institutions /Iris H-Y ChiuOxford :Hart Publishing,2015.1 online resource (358 p.)Description based upon print version of record.1-5099-2009-9 1-84946-525-8 Includes bibliographical references and index.Part I: The Elements of Internal Control in Banks and Financial Institutions -- 1. The Role of Internal Control in the Meta-Regulation of Financial Institutions -- 2. The Role of Compliance -- 3. The Role of Risk Management -- 4. The Role of Internal Audit -- 5. The Contextual Frameworks of Corporate Governance -- Part II: Making Internal Control Effective in Banks and Financial Institutions -- 6. Regulating Aspects of Corporate Governance and Organisational Culture as a Broader Framework for Internal Control -- 7. Incentive-Based Approaches to Improve Internal Control Efficacy: Enforcement and Whistle-Blowing -- 8. The Need for Enhanced Professionalism for Internal Control Functions -- 9. Concluding Remarks"This book examines a key aspect of the post-financial crisis reform package in the EU and UK-the ratcheting up of internal control in banks and financial institutions. The legal framework for internal controls is an important part of prudential regulation, and internal control also constitutes a form of internal gatekeeping for financial firms so that compliance with laws and regulations can be secured. This book argues that the legal framework for internal control, which is a form of meta-regulation, is susceptible to weaknesses, and such weaknesses are critically examined by adopting an interdisciplinary approach. The book discusses whether post-crisis reforms adequately address the weaknesses in regulating internal control and proposes an alternative strategy to enhance the 'governance' effectiveness of internal control."--Bloomsbury Publishing.Auditing, InternalBank examinationBanking lawAuditing, Internal.Bank examination.657.833Chiu Iris H-Y748489UtOrBLWUtOrBLWUkLoBPBOOK9910511488603321Regulating (from) the inside2549898UNINA