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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...
| Clasificación: | Libro Electrónico |
|---|---|
| Autor principal: | |
| Formato: | Electrónico eBook |
| Idioma: | Inglés |
| Publicado: |
Oxford ; Portland, Oregon :
Hart Publishing,
2015.
|
| Temas: | |
| Acceso en línea: | Texto completo |
MARC
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|---|---|---|---|
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| 049 | |a UAMI | ||
| 100 | 1 | |a Chiu, Iris H.-Y., |e author. | |
| 245 | 1 | 0 | |a Regulating (from) the inside : |b the legal framework for internal control in banks and financial institutions / |c Iris H-Y Chiu. |
| 264 | 1 | |a Oxford ; |a Portland, Oregon : |b Hart Publishing, |c 2015. | |
| 300 | |a 1 online resource | ||
| 336 | |a text |b txt |2 rdacontent | ||
| 337 | |a computer |b c |2 rdamedia | ||
| 338 | |a online resource |b cr |2 rdacarrier | ||
| 504 | |a Includes bibliographical references (pages 300-324) and index. | ||
| 588 | 0 | |a Online resource; title from PDF title page (EBSCO, viewed September 25, 2015). | |
| 505 | 0 | |a 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 | |
| 505 | 8 | |a 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 | |
| 505 | 8 | |a Flexible and Alternative Regulatory Strategies in Financial Regulation The Importance of Meta-Regulation in Financial Regulation -- Meta-Regulation and its Limitations -- Excessive Proceduralisation | |
| 505 | 8 | |a 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 | |
| 505 | 8 | |a 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? | |
| 520 | |a "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 | ||
| 590 | |a ProQuest Ebook Central |b Ebook Central Academic Complete | ||
| 650 | 0 | |a Bank examination. | |
| 650 | 0 | |a Auditing, Internal. | |
| 650 | 0 | |a Financial institutions |x Risk management. | |
| 650 | 0 | |a Banks and banking |x Risk management. | |
| 650 | 6 | |a Banques |x Audit. | |
| 650 | 6 | |a Vérification interne. | |
| 650 | 6 | |a Institutions financières |x Gestion du risque. | |
| 650 | 7 | |a Banking law. |2 bicssc | |
| 650 | 7 | |a BUSINESS & ECONOMICS |x Accounting |x Financial. |2 bisacsh | |
| 650 | 7 | |a Auditing, Internal |2 fast | |
| 650 | 7 | |a Bank examination |2 fast | |
| 650 | 7 | |a Banques |x Droit. |2 ram | |
| 758 | |i has work: |a Regulating (from) the inside (Text) |1 https://id.oclc.org/worldcat/entity/E39PCGqwFkqDcHVVwxb6fvRCw3 |4 https://id.oclc.org/worldcat/ontology/hasWork | ||
| 776 | 0 | 8 | |i Print version: |a Chiu, Iris H.-Y. |t Regulating (from) the inside. |d Oxford ; Portland, Oregon : Hart Publishing, 2015 |z 1849465258 |z 9781849465250 |w (OCoLC)902021472 |
| 856 | 4 | 0 | |u https://ebookcentral.uam.elogim.com/lib/uam-ebooks/detail.action?docID=4000399 |z Texto completo |
| 938 | |a Bloomsbury Publishing |b BLOO |n bpp09259696 | ||
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