Regulating (from) the inside : the legal framework for internal control in banks and financial institutions /

"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...

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Detalles Bibliográficos
Clasificación:Libro Electrónico
Autor principal: Chiu, Iris H.-Y (Autor)
Formato: Electrónico eBook
Idioma:Inglés
Publicado: Oxford ; Portland, Oregon : Hart Publishing, 2015.
Temas:
Bank examination.
Auditing, Internal.
Financial institutions > Risk management.
Banks and banking > Risk management.
Banques > Audit.
Vérification interne.
Institutions financières > Gestion du risque.
Banking law.
BUSINESS & ECONOMICS > Accounting > Financial.
Auditing, Internal
Bank examination
Banques > Droit.
Acceso en línea:Texto completo
Tabla de Contenidos:
  • Cover
  • Half-title
  • Title
  • Copyright
  • Acknowledgements
  • Contents
  • Table of Cases
  • Table of Legislation
  • 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
  • A. Introduction to Internal Control
  • Evolution of the Role of Internal Control Broadly Understood B. The Meta-Regulation of Internal Control and the Rise in Meta-Regulation in Financial Regulation Generally
  • The Rise of Flexible and Alternative Models of Regulation
  • Flexible and Alternative Regulatory Strategies in Financial Regulation The Importance of Meta-Regulation in Financial Regulation
  • Meta-Regulation and its Limitations
  • Excessive Proceduralisation
  • C. Three Paradigms in the Regulatory Framework for Internal Control in Banks and Financial Institutions D. Structure of the Book
  • 2. The Role of Compliance
  • A. The Compliance Function: A Profile Sketch
  • The Job Scope of the Compliance Function
  • The Qualifications of Compliance Officers The Organisational Positioning of the Compliance Function
  • Accountability Channels of the Compliance Function
  • B. Disjunctions Between the Performance of the Compliance Function and Regulatory Expectations in Securing Firms? Compliance: Analysing the Organisational Dimension
  • Distinct Department or Fused with General Counsel?
  • Centralisation or Decentralisation?

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