Regulating (from) the inside : the legal framework for internal control in banks and financial institutions / / Iris H-Y Chiu

• Autore: Chiu Iris H-Y
• Pubblicazione: Oxford : , : Hart Publishing, , 2015
• Descrizione fisica: 1 online resource (358 p.)
• Disciplina: 657.833
• Soggetto topico: Auditing, Internal; Bank examination
• Note generali: Description based upon print version of record.
• Nota di bibliografia: Includes bibliographical references and index.
• Nota di contenuto: 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
• Sommario/riassunto: "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.
• Titolo autorizzato: Regulating (from) the inside
• ISBN: 1-78225-769-1; 1-5099-0138-8
• Formato: Materiale a stampa
• Livello bibliografico: Monografia
• Lingua di pubblicazione: Inglese
• Record Nr.: 9910511488603321
• Lo trovi qui: Univ. Federico II