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Conduct and Accountability in Financial Services A Practical Guide.
"Are you fully prepared for the implementation of the Senior Managers and Certification Regime across financial services firms and the related regulatory scrutiny on conduct and accountability? The 2008 financial crisis sparked major changes in global financial services regulation with attentio...
| Clasificación: | Libro Electrónico |
|---|---|
| Autor principal: | |
| Otros Autores: | |
| Formato: | Electrónico eBook |
| Idioma: | Inglés |
| Publicado: |
London :
Bloomsbury Publishing Plc,
2018.
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| Temas: | |
| Acceso en línea: | Texto completo |
MARC
| LEADER | 00000cam a2200000Mu 4500 | ||
|---|---|---|---|
| 001 | EBOOKCENTRAL_on1153841850 | ||
| 003 | OCoLC | ||
| 005 | 20240329122006.0 | ||
| 006 | m d | ||
| 007 | cr ||||||||||| | ||
| 008 | 200509s2018 enk o ||| 0 eng d | ||
| 040 | |a EBLCP |b eng |c EBLCP |d SFB |d OCLCF |d OCLCO |d OCLCQ |d OCLCO |d OCLCQ |d OCLCL | ||
| 020 | |a 9781526505224 | ||
| 020 | |a 1526505223 | ||
| 029 | 1 | |a AU@ |b 000070392953 | |
| 035 | |a (OCoLC)1153841850 | ||
| 050 | 4 | |a HG173 |b .E54 2018 | |
| 082 | 0 | 4 | |a 346.082 |
| 049 | |a UAMI | ||
| 100 | 1 | |a English, Stacey. | |
| 245 | 1 | 0 | |a Conduct and Accountability in Financial Services |h [electronic resource] : |b A Practical Guide. |
| 260 | |a London : |b Bloomsbury Publishing Plc, |c 2018. | ||
| 300 | |a 1 online resource (359 p.) | ||
| 500 | |a Description based upon print version of record. | ||
| 505 | 0 | |a Intro -- Preface -- Dedication -- About the authors -- Abbreviations -- Chapter 1 Context and drivers for the new accountability regime -- The financial crisis -- The financial crisis and the response: timeline of events -- Key parties in driving legislative and regulatory reform -- The Approved Persons Regime -- Need for accountability and the new regime -- Checklist -- Chapter 2 Key changes from previous regime -- Introduction -- 'Fit and proper' -- Honesty, integrity and reputation -- Competence and capability -- Financial soundness -- Due diligence and documentation | |
| 505 | 8 | |a Banking Standards Board -- 'Reasonable steps' -- Senior Manager Conduct Rules -- Effective control -- Compliance with relevant requirements and standards -- Delegation -- Cooperation with regulators -- Individual Conduct Rules -- Integrity -- Due skill, care and diligence -- Open and cooperative with regulators -- Treating customers fairly -- Proper market conduct -- Checklist -- Chapter 3 Specifics of the Senior Managers and Certification Regime as it applies to banks and large investment firms -- Introduction -- Who is a 'senior manager'? -- Senior Managers Regime -- Senior Management Functions | |
| 505 | 8 | |a Applying the regime to smaller firms -- Certification Regime -- 'Employees' subject to the Certification Regime -- Territorial scope -- PRA certification functions -- FCA significant harm functions -- Fit and proper -- Content of certificates -- Moving functions during the year -- What happens if the employee is not fit and proper? -- Emergency appointments -- Temporary UK role -- Checklist -- Chapter 4 Specifics of the Senior Managers and Certification Regime for insurers -- The new regime for insurers -- Scope of extended regime -- Which employees are impacted? -- What is changing for insurers? | |
| 505 | 8 | |a The Senior Managers Regime for insurers -- The Senior Management Functions -- Handover -- Duty of responsibility -- Prescribed Responsibilities -- Practical implementation -- Statements of Responsibilities -- Management Responsibilities Map -- The Certification Regime -- Who it applies to -- Certification functions -- Fitness and propriety requirements -- Regulatory references for senior managers and certified staff -- The Conduct Rules -- The Individual and Senior Manager Conduct Rules -- Training and notification -- Outsourcing under the SMR -- Checklist | |
| 505 | 8 | |a Chapter 5 Extension of SM&CR to (almost) all financial services firms -- Introduction -- What type of SM&CR firm will yours be? -- The Senior Managers Regime -- Statements of Responsibilities (SoRs) -- Duty of responsibility -- Prescribed responsibilities -- Fit and proper -- Certification Regime -- Conduct Rules -- How the Senior Managers Regime applies to limited scope firms -- How the Senior Managers Regime applies to core firms -- How the Senior Managers Regime applies to enhanced firms -- Transition between the Approved Persons Regime and SM&CR | |
| 500 | |a Transition for core, limited scope firms and branches | ||
| 520 | |a "Are you fully prepared for the implementation of the Senior Managers and Certification Regime across financial services firms and the related regulatory scrutiny on conduct and accountability? The 2008 financial crisis sparked major changes in global financial services regulation with attention and resources focused on the behaviour of firms and senior individuals and how they conduct their business. Regulatory reforms have been designed and implemented globally to address accountability and conduct in financial services. In the UK this has resulted in the Senior Managers and Certification Regime (SM&CR) being implemented across all FSMA-regulated firms. Conduct and Accountability in Financial Services: A Practical Guide provides comprehensive and expert guidance on how best to implement and comply with the SM&CR.In addition to acting as a guide to rule book requirements and regulatory expectations, it provides an in-depth look at the implications of the global focus on culture and conduct risk. A must-read text for all staff in UK financial services firms, professional associations, industry bodies, regulators, academics and advisers to financial services organisations, it covers: The context and regulatory basis for SM&CR including an overview of the development and roll-out of the regime Analysis of key changes from the previous 'approved person' approach Practical considerations for HR, internal audit and non-executive directors The increasing role of culture and conduct risk A practical overview of enforcement, penalties and learning lessons from enforcement actions Overarching principles of how to manage personal regulatory risk Regulatory relationship management The impact of technology An overview of related global developments Appendices with timeline, bibliography and a selection of other useful sources for senior managers Conduct and Accountability in Financial Services: A Practical Guide is on the syllabus reading list for the Regulation and Compliance exam offered by the Chartered Institute of Securities and Investments."--Bloomsbury Publishing. | ||
| 590 | |a ProQuest Ebook Central |b Ebook Central Academic Complete | ||
| 650 | 0 | |a Business enterprises |x Finance. | |
| 650 | 0 | |a Finance |x Law and legislation. | |
| 650 | 0 | |a Global Financial Crisis, 2008-2009. | |
| 650 | 0 | |a Liability (Law) | |
| 650 | 6 | |a Crise financière mondiale, 2008-2009. | |
| 650 | 6 | |a Responsabilité (Droit) | |
| 650 | 7 | |a Business enterprises |x Finance |2 fast | |
| 650 | 7 | |a Finance |x Law and legislation |2 fast | |
| 650 | 7 | |a Liability (Law) |2 fast | |
| 647 | 7 | |a Global Financial Crisis |d (2008-2009) |2 fast |0 (OCoLC)fst01755654 |1 https://id.oclc.org/worldcat/entity/E39Qhp4vBbr3T8xBMDbJhDhGmm | |
| 648 | 7 | |a 2008-2009 |2 fast | |
| 700 | 1 | |a Hammond, Susannah. | |
| 758 | |i has work: |a Conduct and accountability in financial services (Text) |1 https://id.oclc.org/worldcat/entity/E39PCFB6pHR8fmJK7k7cFYgxjC |4 https://id.oclc.org/worldcat/ontology/hasWork | ||
| 776 | 0 | 8 | |i Print version: |a English, Stacey |t Conduct and Accountability in Financial Services : A Practical Guide |d London : Bloomsbury Publishing Plc,c2018 |
| 856 | 4 | 0 | |u https://ebookcentral.uam.elogim.com/lib/uam-ebooks/detail.action?docID=6179604 |z Texto completo |
| 938 | |a ProQuest Ebook Central |b EBLB |n EBL6179604 | ||
| 994 | |a 92 |b IZTAP | ||