Conduct and accountability in financial services : a practical guide / / Stacey English and Susannah Hammond |
Autore | English Stacey |
Pubbl/distr/stampa | London : , : Bloomsbury Publishing, , 2018 |
Descrizione fisica | 1 online resource (359 pages) |
Disciplina | 343.02 |
Soggetto topico |
Business enterprises - Finance
Finance - Law and legislation Global Financial Crisis, 2008-2009 Liability (Law) |
ISBN |
1-5265-0521-5
1-5265-0523-1 1-5265-0522-3 |
Formato | Materiale a stampa ![]() |
Livello bibliografico | Monografia |
Lingua di pubblicazione | eng |
Nota di contenuto | Chapter 1: Context and drivers for the new regime -- Chapter 2: Key changes from previous regime -- Chapter 3: Specifics based of the Senior Managers and Certification Regime as it applies to banks and large investment firms -- Chapter 4: Specifics of the Senior Managers and Certification Regime for insurers -- Chapter 5: Extension of SM&CR to (almost) all financial services firms -- Chapter 6: Key roles in embedding and overseeing the SM&CR -- Chapter 7: Practical aspects of better risk mitigation -- Chapter 8: Practical challenges to overcome -- Chapter 9: Role of culture and conduct risk -- Chapter 10: Other areas personal liability can arise -- Chapter 11: Enforcement -- Chapter 12: Overarching principles for how to manage personal regulatory risk -- Chapter 13: Regulatory relationship management -- Chapter 14: Technology -- Chapter 15: Overview of related global developments -- Appendix 1: Full timeline -- Appendix 2: Useful sources for senior managers of UK financial services firms |
Record Nr. | UNINA-9910511659903321 |
English Stacey
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London : , : Bloomsbury Publishing, , 2018 | ||
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Lo trovi qui: Univ. Federico II | ||
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Conduct and accountability in financial services : a practical guide / / Stacey English and Susannah Hammond |
Autore | English Stacey |
Pubbl/distr/stampa | London : , : Bloomsbury Publishing, , 2018 |
Descrizione fisica | 1 online resource (359 pages) |
Disciplina | 343.02 |
Soggetto topico |
Business enterprises - Finance
Finance - Law and legislation Global Financial Crisis, 2008-2009 Liability (Law) |
ISBN |
1-5265-0521-5
1-5265-0523-1 1-5265-0522-3 |
Formato | Materiale a stampa ![]() |
Livello bibliografico | Monografia |
Lingua di pubblicazione | eng |
Nota di contenuto | Chapter 1: Context and drivers for the new regime -- Chapter 2: Key changes from previous regime -- Chapter 3: Specifics based of the Senior Managers and Certification Regime as it applies to banks and large investment firms -- Chapter 4: Specifics of the Senior Managers and Certification Regime for insurers -- Chapter 5: Extension of SM&CR to (almost) all financial services firms -- Chapter 6: Key roles in embedding and overseeing the SM&CR -- Chapter 7: Practical aspects of better risk mitigation -- Chapter 8: Practical challenges to overcome -- Chapter 9: Role of culture and conduct risk -- Chapter 10: Other areas personal liability can arise -- Chapter 11: Enforcement -- Chapter 12: Overarching principles for how to manage personal regulatory risk -- Chapter 13: Regulatory relationship management -- Chapter 14: Technology -- Chapter 15: Overview of related global developments -- Appendix 1: Full timeline -- Appendix 2: Useful sources for senior managers of UK financial services firms |
Record Nr. | UNINA-9910795319403321 |
English Stacey
![]() |
||
London : , : Bloomsbury Publishing, , 2018 | ||
![]() | ||
Lo trovi qui: Univ. Federico II | ||
|
Conduct and accountability in financial services : a practical guide / / Stacey English and Susannah Hammond |
Autore | English Stacey |
Pubbl/distr/stampa | London : , : Bloomsbury Publishing, , 2018 |
Descrizione fisica | 1 online resource (359 pages) |
Disciplina | 343.02 |
Soggetto topico |
Business enterprises - Finance
Finance - Law and legislation Global Financial Crisis, 2008-2009 Liability (Law) |
ISBN |
1-5265-0521-5
1-5265-0523-1 1-5265-0522-3 |
Formato | Materiale a stampa ![]() |
Livello bibliografico | Monografia |
Lingua di pubblicazione | eng |
Nota di contenuto | Chapter 1: Context and drivers for the new regime -- Chapter 2: Key changes from previous regime -- Chapter 3: Specifics based of the Senior Managers and Certification Regime as it applies to banks and large investment firms -- Chapter 4: Specifics of the Senior Managers and Certification Regime for insurers -- Chapter 5: Extension of SM&CR to (almost) all financial services firms -- Chapter 6: Key roles in embedding and overseeing the SM&CR -- Chapter 7: Practical aspects of better risk mitigation -- Chapter 8: Practical challenges to overcome -- Chapter 9: Role of culture and conduct risk -- Chapter 10: Other areas personal liability can arise -- Chapter 11: Enforcement -- Chapter 12: Overarching principles for how to manage personal regulatory risk -- Chapter 13: Regulatory relationship management -- Chapter 14: Technology -- Chapter 15: Overview of related global developments -- Appendix 1: Full timeline -- Appendix 2: Useful sources for senior managers of UK financial services firms |
Record Nr. | UNINA-9910817588503321 |
English Stacey
![]() |
||
London : , : Bloomsbury Publishing, , 2018 | ||
![]() | ||
Lo trovi qui: Univ. Federico II | ||
|