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Conduct and accountability in financial services : a practical guide / / Stacey English and Susannah Hammond
| 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
|
||
| London : , : Bloomsbury Publishing, , 2018 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Conduct and accountability in financial services : a practical guide / / Stacey English and Susannah Hammond
| 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 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
Conduct and accountability in financial services : a practical guide / / Stacey English and Susannah Hammond
| Conduct and accountability in financial services : a practical guide / / Stacey English and Susannah Hammond |
| Autore | English Stacey |
| Edizione | [1st ed.] |
| 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 |
9781526505217
1526505215 9781526505231 1526505231 9781526505224 1526505223 |
| 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-9910961966503321 |
|
English Stacey
|
||
| London : , : Bloomsbury Publishing, , 2018 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||