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

Author: Iris H -Y Chiu
Publisher: Oxford ; Portland, Oregon : Hart Publishing, 2015.
Edition/Format:   eBook : Document : EnglishView all editions and formats
Summary:
"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  Read more...
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Genre/Form: Electronic books
Additional Physical Format: (OCoLC)902021472
Material Type: Document, Internet resource
Document Type: Internet Resource, Computer File
All Authors / Contributors: Iris H -Y Chiu
ISBN: 9781509901388 1509901388
OCLC Number: 921986058
Description: 1 online resource
Contents: ""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?""
Responsibility: Iris H-Y Chiu.

Abstract:

"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.

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Regulating (From) the Inside is an excellent handbook for internal control professionals seeking better understanding of their roles and responsibilities, and also for regulators and financial firm Read more...

 
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