The Changing Function of Compliance

The Changing Function of Compliance
Author: Sharon Ward
Publisher: Taylor & Francis
Total Pages: 299
Release: 2023-09-18
Genre: Business & Economics
ISBN: 1000936449
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As risks arising within the business environment grow in size and complexity, so too do the regulatory requirements put in place to manage them. The pace of regulatory change is itself a significant business risk, and compliance departments are under increasing pressure to keep up with the change and adapt their organisations accordingly. This new edition of what has become an indispensable guide to regulation compliance brings readers up to date with changing areas of focus and provides guidance for regulated firms and regulators alike. The Changing Function of Compliance considers the relationship between regulation and compliance as well as key influences on both, offering insight into the effectiveness of current approaches and addressing practical compliance challenges. It explains the purpose and development of regulatory risk management and the existing regulatory environment, and provides a detailed exploration of the compliance function, explaining how the role might be strengthened and how best to approach the role to enable it to be effective. This practical and accessible handbook includes a mix of hands-on advice, examples and research based on the experiences of practitioners, educators and regulators drawn from across a wide range of jurisdictions and sectors. This book is an essential read, whether you are concerned about the growing and changing implications of regulatory risk, the benefit of leveraging additional value from your compliance function or your own compliance role or ways of transforming and sustaining the function to ensure its continued relevance to the business.

The Changing Face of Compliance

The Changing Face of Compliance
Author: Sharon Ward
Publisher: Routledge
Total Pages: 424
Release: 2016-04-01
Genre: Business & Economics
ISBN: 1317039033
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In the current business climate the impact of the volume and nature of regulatory change and the regulatory risk arising from this is a significant business risk for regulated firms and regulators alike. As a consequence, management of this risk is increasingly high on the board agenda of regulated firms, with those business functions whose activities support this, such as Compliance, facing increasing levels of challenge in their efforts to be effective. The Changing Face of Compliance addresses core aspects of this challenge, considering the relationship between regulation and compliance and key influences on both, offering insight into the effectiveness of current approaches and addressing practical compliance challenges. Sharon Ward explains how the role of Compliance might be strengthened and those who work within it further enabled to support the current focus on improving standards in business, offering recommendations for enhancing this role. The text includes a mix of hands-on advice, examples and research based on the experiences of practitioners, educators and regulators drawn from across a wide range of jurisdictions and sectors. This is a thoughtful and timely book, whether you are concerned about the growing and changing implications of regulatory risk; the benefit of leveraging additional value from your Compliance function or your own Compliance role; or ways of transforming and sustaining the function to ensure its continued relevance to the business.

The Compliance Revolution

The Compliance Revolution
Author: David Jackman
Publisher: John Wiley & Sons
Total Pages: 224
Release: 2015-08-31
Genre: Business & Economics
ISBN: 111902059X
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The Compliance Revolution—Practical, Powerful Changes for Strategic Organizational Value Compliance is absolutely critical in creating a robust and resilient organization, one which is trusted by clients and contributes to market stability. Firms must approach compliance differently in order to meet these standards. Written for compliance staff, regulatory organizations, and senior management, The Compliance Revolution explains how key changes in compliance affect underlying principles, practices, roles, expectations and values. This valuable resource for global practitioners assists in navigating compliance requirements and implementing solid protection for a sound organization. Author David Jackman presents a coherent model for understanding and applying key developments in regulation and compliance. While the model is based on financial services, it can be applied to any sector and industry. It identifies five critical compliance components: Start-up, crises, expansion, sustainability, and outcomes-led focus. You will also discover: Why compliance is worth spending money on What your firm could and should be doing differently The importance of ethics in compliance and regulatory challenges How to create a pro-compliance culture Ten principles of good governance and why good governance matters How to employ judgment-based compliance The features and benefits of corporate maturity The Compliance Revolution is a crucial asset for all those with stakes in compliance—board members, compliance managers, and employees. David Jackman outlines key compliance challenges and reveals the practical tools and techniques required for successful practice. The insight, examples, and strategies in this comprehensive guidebook will help you and your organization achieve increasingly efficient, substantially more effective compliance procedures and practices.

Protecting the Brand

Protecting the Brand
Author: PricewaterhouseCoopers LLP.
Publisher:
Total Pages: 87
Release: 2005
Genre: Compliance
ISBN:
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The Changing Face of Compliance: Compliance context

The Changing Face of Compliance: Compliance context
Author: Sharon Ward (Financial regulatory compliance specialist)
Publisher:
Total Pages: 302
Release: 2016
Genre: Banks and banking
ISBN: 9781409455714
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Strategies for Compliance

Strategies for Compliance
Author: Alan Brener
Publisher: Routledge
Total Pages: 299
Release: 2020-12-20
Genre: Business & Economics
ISBN: 1000320243
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Compliance is a fundamental control function within regulated industries globally. This book provides an expert introduction to corporate compliance using cases, examples and insights from the financial services sector and beyond. The author, an experienced compliance practitioner and academic, highlights compliance challenges, using examples such as Wells Fargo, whistleblowing in the financial services and the mis-selling of payment protection insurance in the UK banking sector. The book explores strategies for creating compliant cultures and fostering regulatory trust, whilst practical guidance is provided on anticipating regulatory changes. Addressing organisational obstruction and delay, the author presents a series of valuable tools and techniques for real-world practice. An essential professional development resource for board directors, compliance officers and other senior managers, the book also provides a unique learning and development resource for students of corporate compliance globally.

Essential Strategies for Financial Services Compliance

Essential Strategies for Financial Services Compliance
Author: Annie Mills
Publisher: John Wiley & Sons
Total Pages: 400
Release: 2015-10-08
Genre: Business & Economics
ISBN: 1118906195
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A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.

The Cambridge Handbook of Compliance

The Cambridge Handbook of Compliance
Author: Benjamin van Rooij
Publisher: Cambridge University Press
Total Pages: 1559
Release: 2021-05-20
Genre: Law
ISBN: 1108754139
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Compliance has become key to our contemporary markets, societies, and modes of governance across a variety of public and private domains. While this has stimulated a rich body of empirical and practical expertise on compliance, thus far, there has been no comprehensive understanding of what compliance is or how it influences various fields and sectors. The academic knowledge of compliance has remained siloed along different disciplinary domains, regulatory and legal spheres, and mechanisms and interventions. This handbook bridges these divides to provide the first one-stop overview of what compliance is, how we can best study it, and the core mechanisms that shape it. Written by leading experts, chapters offer perspectives from across law, regulatory studies, management science, criminology, economics, sociology, and psychology. This volume is the definitive and comprehensive account of compliance.

Imposing Duties

Imposing Duties
Author: Malcolm K. Sparrow
Publisher: Bloomsbury Publishing USA
Total Pages: 220
Release: 1994-02-07
Genre: Business & Economics
ISBN: 0313018537
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Policing, environmental protection, and tax administration have much more in common than practitioners in these areas often recognize. Their cultures and traditions have, for the past few decades, incorporated a classic enforcement mentality, based on the underlying assumption that a ruthless and efficient investigative and enforcement capability would produce compliance through the mechanisms of deterrence. In these fields, and perhaps in many other enforcement or compliance oriented professions, Sparrow believes the traditional enforcement approach is under stress. There are too many violators, too many laws to be enforced, and not enough resources to get the job done. In this book, Sparrow draws out remarkable parallels in the ways these professions are adapting to meet their current challenges, as they reject their traditional reliance on retrospective, case-by-case, after-the-fact enforcement. Rather than perpetuating their dependence on processes, procedures, and coverage, these professions are each developing new capacities for analyzing important patterns of noncompliance, prioritizing risks, and designing intelligent interventions using a much broader range of tools. Sparrow extracts the essence of the transformations underway, explores the critical implications for information management, and lays out the issues that need resolution before the emerging compliance strategies can reach maturity. This book is required reading for all those concerned with either the theory or the practice of the compliance side of government.

Private Equity Compliance

Private Equity Compliance
Author: Jason A. Scharfman
Publisher: John Wiley & Sons
Total Pages: 229
Release: 2018-09-12
Genre: Business & Economics
ISBN: 1119479622
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Develop and manage a private equity compliance program Compliance has become one of the fastest-growing areas in the private equity (PE) space. Mirroring trends from the hedge fund industry, recent surveys indicate that PE managers rank compliance as the single most challenging aspect of their business. Reports also indicate that PE compliance spending has rapidly outpaced other PE operating costs with recent estimates indicating that individual PE funds on average spend at least 15 - 20% of their operating budgets on this area. General Partners (GPs) have also significantly ramped up the hiring of private equity compliance related roles. Private Equity Compliance provides current and practical guidance on key private equity (PE) compliance challenges and trends. Packed with detailed, practical guidance on developing and managing a private equity compliance program, it offers up-to-date case studies and an analysis of critical regulatory enforcement actions on private equity funds in areas including conflict of interest, fees, expenses, LP fun raising disclosures, and valuations. • Provides real-world compliance guidance • Offers information that is tailored to the current compliance practices employed by GPs in the private equity industry. • Provides guidance on managing the compliance risks associated with cybersecurity and information technology risk • Serves as a PE-focused complement to the author's previous book, Hedge Fund Compliance If you’re a private equity investor or compliance officer looking for trusted guidance on analyzing conflicts, fees, and risks, this is one reference you can’t be without.