05843nam 2200805 450 991082255260332120230912131910.01-119-02061-11-119-04592-41-119-02060-3(CKB)3710000000433725(EBL)2073473(SSID)ssj0001516841(PQKBManifestationID)12518358(PQKBTitleCode)TC0001516841(PQKBWorkID)11498994(PQKB)11463688(PQKBManifestationID)16040943(PQKB)21267541(DLC) 2015025472(Au-PeEL)EBL4040582(CaPaEBR)ebr11069585(CaONFJC)MIL804012(OCoLC)912045457(Au-PeEL)EBL2073473(CaSebORM)9781119020592(MiAaPQ)EBC4040582(MiAaPQ)EBC2073473(EXLCZ)99371000000043372520160224h20152015 uy 0engur|||||||||||txtccrThe compliance revolution how compliance needs to change to survive /David Jackman1st editionSingapore :Wiley,2015.©20151 online resource (227 p.)Wiley Finance SeriesIncludes index.1-119-02059-X Includes bibliographical references and index.Cover; Title Page; Copyright; Contents; Preface; Acknowledgments; About the Author; Part 1 Theory; Chapter 1 New Compliance; The Challenge; Turning Point; Traditional Compliance; New Compliance; Shared Journey; Chapter 2 General Model of Regulatory and Compliance Development; Introduction to Development Models; General Model of Regulatory and Compliance Development; International Comparisons; Example of the UK; Using Regulatory Toolkits; Conclusion; Endnote; Chapter 3 Is Compliance Worth the Money?; An Unfortunate Unconformity; The 2008 Global Financial Crisis; Legacy of Failure; Post-2008Increasing Compliance Spend A Line in the Sand; Future Challenges; Conclusion; Endnotes; Part 2 Practice; What to Do Differently; Chapter 4 Ethics; Definitions; Ethics in Regulation and Compliance; An Ethical Framework for Financial Services; Ethics in Business; How Should a Compliance Practitioner Approach Ethics?; Ethics at Work versus Ethics at Home; Steps Towards Developing Ethics; Main Tools for Identifying and Applying Corporate Ethics; Three Critical Steps in Establishing Ethics; Ethics in Regulation; Principles and Ethics; Advantages and Disadvantages of PrinciplesPrinciples-Based Regulation Conclusion; Endnotes; Chapter 5 Culture; Pro-Compliance Culture; What Is Culture?; What Is a Values-Led Mind-Set?; Changing and Embedding Culture; How to Change Culture; Creating Crucibles in Regulation-Examples; Regulatory Methodologies; UK Indicators; Fair Dealing in Singapore; Measuring Culture; Conclusion; Endnotes; Chapter 6 Good Governance; Why Does Governance Matter?; What Is Corporate Governance?; A Model of Good Governance; Ten Principles of Good Governance; Conclusion; Review: The State of Corporate Governance; Endnotes; Chapter 7 OutcomesWhy Is This Step Up So Significant? What Is Outcome?; Why Is Outcome So Important?; Development Matrix; Outcomes in Singapore Regulation; Outcomes and Enforcement; Conclusion; Endnotes; Part 3 Purpose; Chapter 8 Community; Importance of Community; Role of Companies; Social Usefulness of Banks; Role of Compliance; Definition of Community; Community Principles; Sustainable Communities Principles-What Do They Mean?; Development Matrix; Corporate Social Responsibility; New Reporting Standards; Behavioural Economics; Vulnerable Consumers; Conclusion; Endnotes; Chapter 9 Corporate FaithWhat Is Corporate Faith?Managing Corporate Faith; The Value of Corporate Faith; Dimensions of Corporate Faith; How Faith Develops; Corporate Faith into Practice; Professionalism; Judgment-Based Compliance; Conclusion; Chapter 10 Corporate Maturity; What Is Maturity?; Maturity and a Direction of Travel; Unconditionality; The Underlying Process; Corporate Maturity Framework; Cavitation; Connecting the Five Stages of Development with the Five Levels of Maturity; Conclusion; Index; EULABeyond Compliance is about a necessary change in the way businesses carry out compliance, from expensive mechanical 'tick-boxing' to a much more mature, intelligent and lower cost 'judgment-based' compliance which aims to prevent problems occurring rather than treating symptoms and adds value by enhancing customer experience, reducing errors and complaints, reducing reputational damage and regulatory risk. It would work as a reference book in business as well as an academic text. This book includes: maturity matrices (a new measurement tool used in forthcoming ISO 37000)Wiley finance series.Financial services industryManagementFinancial services industryLaw and legislationFinancial institutionsManagementFinancial institutionsState supervisionFinancial institutionsLaw and legislationFinancial services industryManagement.Financial services industryLaw and legislation.Financial institutionsManagement.Financial institutionsState supervision.Financial institutionsLaw and legislation.332.1068/1Jackman David1960-1626728MiAaPQMiAaPQMiAaPQBOOK9910822552603321The compliance revolution3962922UNINA