Книга "Основные стратегии соблюдения финансовых услуг" (Essential Strategies for Financial Services Compliance) предлагает практические рекомендации по применению регуляторных требований в повседневных ситуациях в финансовых учреждениях. В книге также рассматривается, как сообщать об активностях отдела соблюдения правил остальной части компании, как роль соответствует структуре организации в целом, каковы объем и ограничения их обязанностей, что делать, когда что-то идет не так, и как справляться с необычными проблемами. Роль сотрудника по соблюдению правил может быть непопулярной, но важной в бизнес-мире, поскольку такие специалисты консультируют компании по соблюдению многочисленных правил и регуляций. То, что является хорошим для соблюдения правил, порой может казаться плохим для бизнеса, что делает работу таких специалистов довольно сложной.
Книга "Essential Strategies for Financial Service Compliance" by the authorship of a group of experts is an important tool that provides guidance and recommendancies for financial institutions to meet the ever-changing regulatory environment. The book provides a critical analysis of current practices in compliance management and defines strategies to enhance efficiency and effectiveness in dealing with the complexities of regulations in financial service industry.
The book breaks down the notion of compliance into distinct chapters, helping enterprises comprehend the different facets of compliance efforts effectively. From identifying risks to implementing effective systems, "Essential Strategy for Financial Services Compliances" demonstrates exemplary practices which can be adopted to enable compliance monitoring. The authors describe a framework for effective management of compliance services, guiding the reader in their endeavor to proactively address the ongoing challenges encountered in complying with regulations.
In addition to providing theoretical perspectives to advance compliance activity for financial services sector, the book also contains case studies collected from the global finance landscape, which present tangible examples of successful compliance initiatives. This model-learning approach provides actionable models that institutions can implement for optimizing their own compliance strategies.
With such rich knowledge grafted into the pages of this book, financial executives, compliance officers, legal advisors and auditors will have valuable insights into evolving trends in regulatory landscape and derive substantial benefit from the information shared in the sectionalized chapters.
Электронная Книга «Essential Strategies for Financial Services Compliance - Группа авторов» написана автором Группа авторов в году.
Минимальный возраст читателя: 0
Язык: Английский
ISBN: 9780470699911
Описание книги от Группа авторов
Compliance officers perform a vital, yet unpopular role in the business world as they advise on complying with myriad rules and regulations. What is good for compliance is sometimes seen as being bad for business, making a compliance officer's role a difficult one. Essential Strategies for Financial Services Compliance offers practical guidance on how to apply a regulatory requirement to day to day situations. It also shows how to communicate the compliance department?s activities to the rest of the firm, how the role fits within the organization as a whole, what the scope and limitation of their responsibilities are, what to do when things go wrong, and how to deal with unusual problems.
