Conduct and Accountability in Financial Services
Conduct and Accountability in Financial Services

Author: Stacey English

Publisher: Bloomsbury Publishing

Published: 2018-11-23

Total Pages: 359

ISBN-13: 1526505223

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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.

Outsourcing Accountability?
Outsourcing Accountability?

Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Financial Institutions and Consumer Protection

Publisher:

Published: 2013

Total Pages: 114

ISBN-13:

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Achieve with Accountability
Achieve with Accountability

Author: Mike Evans

Publisher: John Wiley & Sons

Published: 2017-01-17

Total Pages: 162

ISBN-13: 1119314097

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ACCOUNTABILITY IS THE CATALYST THAT IGNITES: Accelerated Change, Robust Employee Engagement, Intensified Ownership, Relentless Perseverance, Impeccable Alignment, and propels individuals, teams and organizations to desired results. Accountability crumbles silos, boosts teamwork and collaboration, strengthens camaraderie, creativity, resiliency, agility, trust, and communication Achieve with Accountability presents a recipe for awakening the whatever it takes attitude to achieve what matters most to individuals, teams and organizations. Discover how to transform accountability into a positive, engaging and forward looking experience that will secure your position in the new world of work. Learn how to kick-start a revolution that will blast your team or organization to new heights of success. We are in a brawl with no rules, where the fast, flexible and agile will eat and spit out the slow, over-thinking and complacent. When you relinquish accountability you place your future in the hands of other people or events. It's only by taking accountability and ownership for our circumstances that we can achieve what matters most. Embrace the accountability fundamentals that have helped individuals, teams and organizations for years to achieve and exceed what matters most. With the world coming at us fast and furious every day, it's easy to feel like you've lost control of your own life, your team or your organization. By choosing to take and lead accountability you reclaim control and are able to direct your own destiny. Develop the agility, flexibility and resiliency to adapt and thrive during constant change Foster a can-do, resolute, solutions focus in the face of difficult challenges, obstacles and barriers Eradicate the blame-game and vanquish excuse-making that stifles peak performance Shed feelings of disarray, discomfort, apathy, entitlement, indifference and despair Take control over your circumstances and achieve what matters most Unleash voluntary contributions of discretionary performance that is often left untapped in individuals, teams and organizations Establish unshakable trust and credibility Accountability is a current that feeds into the slipstream of success. Your performance, your decisions, and your results are all your responsibility; when you operate from that premise, magic happens. Achieve with Accountability shows you how to nourish that can-do mindset, so you can begin to achieve what matters most.

The Financial Crisis Inquiry Report
The Financial Crisis Inquiry Report

Author: Financial Crisis Inquiry Commission

Publisher: Cosimo, Inc.

Published: 2011-05-01

Total Pages: 692

ISBN-13: 1616405414

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The Financial Crisis Inquiry Report, published by the U.S. Government and the Financial Crisis Inquiry Commission in early 2011, is the official government report on the United States financial collapse and the review of major financial institutions that bankrupted and failed, or would have without help from the government. The commission and the report were implemented after Congress passed an act in 2009 to review and prevent fraudulent activity. The report details, among other things, the periods before, during, and after the crisis, what led up to it, and analyses of subprime mortgage lending, credit expansion and banking policies, the collapse of companies like Fannie Mae and Freddie Mac, and the federal bailouts of Lehman and AIG. It also discusses the aftermath of the fallout and our current state. This report should be of interest to anyone concerned about the financial situation in the U.S. and around the world.THE FINANCIAL CRISIS INQUIRY COMMISSION is an independent, bi-partisan, government-appointed panel of 10 people that was created to "examine the causes, domestic and global, of the current financial and economic crisis in the United States." It was established as part of the Fraud Enforcement and Recovery Act of 2009. The commission consisted of private citizens with expertise in economics and finance, banking, housing, market regulation, and consumer protection. They examined and reported on "the collapse of major financial institutions that failed or would have failed if not for exceptional assistance from the government."News Dissector DANNY SCHECHTER is a journalist, blogger and filmmaker. He has been reporting on economic crises since the 1980's when he was with ABC News. His film In Debt We Trust warned of the economic meltdown in 2006. He has since written three books on the subject including Plunder: Investigating Our Economic Calamity (Cosimo Books, 2008), and The Crime Of Our Time: Why Wall Street Is Not Too Big to Jail (Disinfo Books, 2011), a companion to his latest film Plunder The Crime Of Our Time. He can be reached online at www.newsdissector.com.

Strategic Human Resource Management in the Public Arena
Strategic Human Resource Management in the Public Arena

Author: John Cunningham

Publisher: Bloomsbury Publishing

Published: 2017-09-16

Total Pages: 416

ISBN-13: 1137432411

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Accompanying online resources for this title can be found at bloomsburyonlineresources.com/strategic-human-resource-management. These resources are designed to support teaching and learning when using this textbook and are available at no extra cost.

Commonwealth Caribbean Corporate Governance
Commonwealth Caribbean Corporate Governance

Author: Suzanne Ffolkes-Goldson

Publisher: Routledge

Published: 2015-10-05

Total Pages: 257

ISBN-13: 1317638018

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Corporate governance initiatives have been developing at a rapid pace in the Commonwealth Caribbean through legislation, case law and codes. Commonwealth Caribbean Corporate Governance offers an overview of current practice and legal developments in corporate governance, highlighting the interpretation of the legislation through case law and the codes of corporate governance which have now been implemented. It also considers the challenges which emerging markets face in an attempt to adopt the corporate governance initiatives of developed markets. This text explores the emergence and development of corporate governance in the region from a range of angles, including the protection and empowerment of shareholders, the impact on government agencies, and the role and responsibilities of directors and officers in companies and in government agencies. Written by a panel of academics, legal practitioners and experts working in business, this book will be an invaluable resource for judges, lawyers, corporate executives and students of business, corporate law and corporate management.

Panic!
Panic!

Author: David Andrew Zimmerman

Publisher: Univ of North Carolina Press

Published: 2006

Total Pages: 310

ISBN-13: 0807830232

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During the economic depression of the 1890s and the speculative frenzy of the following decade, Wall Street, high finance, and market crises assumed unprecedented visibility in the United States. Fiction writers published scores of novels that explored this new cultural phenomenon. In Panic, David A. Zimmerman studies how American novelists and their readers imagined--and in one case, incited--market crashes and financial panics.Panic examines how Americans' understandings of and attitudes toward securities markets, popular investment, and financial catastrophe were entangled with their conceptions of gender, class, crowds, and history. Blending literary, historical, and cultural analysis, Zimmerman investigates how writers turned to fledgling research in mob psychology, psychic investigations, and conspiracy discourse to understand how mass acts of reading and popular participation in the corporate transformation of the American economy could trigger financial disaster and cultural chaos. In addition, Zimmerman shows how writers, by experimenting with sensationalism, sympathy, the sublime, melodrama, and naturalism, explored the limits of fiction's aesthetic, economic, and ethical capacities in their portrayals of markets in crisis. With readings of canonical as well as lesser-known novelists, Zimmerman provides an original and wide-ranging analysis of the relation between fiction and financial modernity.