Compliance Management in Financial Industries

Questions. In order to support compliance management in financial industries,
this book follows four research questions. First, the impact of regulations on IS
development processes is investigated and possible research artifacts that cope
with ...

Compliance Management in Financial Industries

Author: Mathias Eggert

Publisher: Springer Science & Business Media

ISBN: 331903913X

Page: 96

View: 133

Since the peak of the world financial crisis in 2008, compliance management has gained more and more interest from practice and research. In particular the financial service industry is strongly regulated and has to follow specific laws, standards and guidelines. Considering the steadily increasing number of legal requirements in the design of information systems is a challenge to financial service providers. This book investigates the challenges of compliance management in financial industries and provides solutions for a compliant design of information models. From a business process perspective, an approach is presented that enables the automatic checking of business process models. From a supervisory reporting perspective a modeling technique is presented that allows for modeling regulatory data warehouse requirements as well as its analysis. Besides these two perspectives the author provides insights into the perceived relationship of Information Systems and Law.

Compliance Norms in Financial Institutions

Global Policy 5(3)/2014. M. Eggert, Compliance Management in Financial
Industries: A Model-Based Business Process and Reporting Perspective,
Heidelberg 2014. S. Ehrlich, Oblicza pluralizmów, Warsaw 1985. S. Ehrlich,
Wiążące wzory ...

Compliance Norms in Financial Institutions

Author: Tomasz Braun

Publisher: Springer Nature

ISBN: 3030249662

Page: 356

View: 792

Initially, introducing compliance functions within the financial industry had been forced by regulatory scrutiny. Later, it started to spread to other regulated companies, in particular those publicly listed. Now, compliance has become an asset of corporates that want to build their reliability among clients, shareholders, employees and business partners. This book looks at the efficiency of the compliance measures introduced and the best practices of building compliance norms. This recently observed practice of compliance was triggered by the expectation of regulators, shareholders, clients, business partners and the public for robust compliance mechanisms. This book looks at the vast interest in this topic among business people who strive to introduce the systems and the mechanisms of non-compliance risk management in their companies and at the uncountable difficulties and obstacles they meet. The book fills the gap of thorough analysis of this subject by pointing out the solutions successfully introduced in global financial organizations, and would be of interest to academics, researchers and practitioners in corporate finance, corporate governance and risk management.

Corporate Compliance in Home Health

Compliance: Risk. Management. Challenges. and. Strategies. Exhibit 6–1
Checklist of Documentation Risk Indicators ... these industries, tasked as they are
with initiating programs that are designed to reduce the risk of financial loss
stemming ...

Corporate Compliance in Home Health

Author: Fay A. Rozovsky

Publisher: Jones & Bartlett Learning

ISBN: 9780834211735

Page: 512

View: 716

Litigation is rampant in the home health field - and it's not just about billing and coding. It's also about other practices that could lead to compliance problems, such as substandard employment practices or failing to run background checks. A lawsuit against your agency could come completely out of left field. But you can avoid getting blind-sided and protect your agency. Corporate Compliance in Home Health: Establishing a Plan, Managing the Risks gives home health care providers practical, down-to-earth standards for controlling and preventing losses growing out of corporate compliance. With this new resource from Aspen, get an up-to-date and easy-to-understand review of the law of corporate compliance, find out how the new OIG (Office of the Inspector General of HCFA) model compliance guidance for hospitals impacts home health, and uncover where your agency is at risk. You'll find out what to do if and when your agency comes under investigation, and get important, timely federal reference material from the GAO to HHS, and key parts of the Federal Sentencing Guidelines.

Careers in Asset Management and Retail Brokerage

Asset management companies, including hedge and mutual funds, are in the
business of increasing the wealth of their constituent investors ... Unlike analysts
at securities firms, they also tend to evaluate stocks across industries. ... Behind
this team is an array of support staff that includes financial analysts who do fund
accounting, operations specialists who do trade settlement, compliance officers
who ...

Careers in Asset Management and Retail Brokerage

Author:

Publisher: WETFEET, INC.

ISBN: 1582078173

Page: 91

View: 246

Handbook of Compliance Integrity Management

Compliance was slower to establish itself in non-financial companies, at least
under that name. It started with the companies that were heavily regulated, for
example the pharmaceutical industry and the aircraft industry, which had been
subject ...

Handbook of Compliance   Integrity Management

Author: Prof. S.C. Bleker-van Eyk

Publisher: Kluwer Law International B.V.

ISBN: 9041188193

Page: 442

View: 572

This handbook is the first resource to provide a scientific analysis of the nature of compliance. It examines the subject from such crucial and varied perspectives as ethics, behavioral science, risk management, accounting, and European and international law. Much more than a critical approach to the existing practice of supervision, it provides a wealth of information, guidance, and valuable insights for the day-to-day work of compliance officers. With chapters contributed by lecturers of VU University Amsterdam’s flourishing post-doctoral Executive Master Program in Compliance and Integrity Management – which fosters alternatives such as greater trust in self-regulation and market discipline – the book explores such aspects of compliance and integrity management as the following: • monitoring risk compliance and integrity; • stakeholder and reputation management; • conflicts of interest; • anti-bribery; • export controls; • extraterritorial jurisdiction of U.S. legislation; • fraud; • duty of care; • market abuse; • privacy; and • competition. The analysis throughout is supported by a comprehensive study of the literature concerning the raison d'être of supervision and regulation. Meeting the need for an in-depth analysis of the expanding field of compliance and integrity management, this book is a milestone in a field that is rapidly growing in importance across a wide spectrum of business and professional activity. It will prove an essential practical resource for company or institutional officers worldwide in setting up a compliance function in their organization. Well known as a consultant in compliance-related matters, Sylvie C. Bleker-van Eyk is currently Senior Director at PricewaterhouseCoopers Forensic Services, Chair of the Supervisory Committee on Monitoring Anti–Money Laundering Policy at WODC, the Research and Documentation Centre of the Netherlands Ministry of Security and Justice, and Professor and Program Director of Postgraduate Education in Compliance and Integrity Management at VU University Amsterdam. Raf A. M. Houben is Head of Compliance and Security at HDI Global SE–The Netherlands in Rotterdam, and program coordinator and lecturer at the same Postgraduate Education in Amsterdam.

Urban and Industrial Management in Developing Countries

In the case of Japan's paper and pulp industry, COD discharges fell from 2.2
million tons in 1970 to 0.2 million tons in 1989. ... They have a strong motivation
to comply with discharge standards set by relevant laws or voluntary agreements.
... and control (especially emission standards) to achieve environmental quality
objectives, granting financial assistance to private enterprises to meet these
standards.

Urban and Industrial Management in Developing Countries

Author: Wilfrido Cruz

Publisher: World Bank Publications

ISBN: 9780821342015

Page: 54

View: 106

This book summarizes the key features of Japan's work to resolve the urban and industrial pollution problems stemming from its rapid post-war industrial expansion. Drawing upon views expressed by Japanese and participants from other East Asian countries in an international workshop, this book identifies the main areas in which developing countries may profit from the Japanese example. The report also contains a series of short essays by Japanese experts on Japan's environmental management history, recent trends in Japanese environmental indicators, and summaries of key themes that emerged during the workshop.

Essentials of Risk Management in Finance

Comprehend the major IT risk standards used by risk managers. Recognize the
limitations ... There exists a large variety of risk frameworks and risk standards
that guide risk managers in various regions, industries, and disciplines. The
terms ... COSO isthemostglobally accepted risk and compliance framework. It
addresses ...

Essentials of Risk Management in Finance

Author: Anthony Tarantino

Publisher: John Wiley & Sons

ISBN: 9780470946350

Page: 224

View: 253

A concise and and easy to follow introduction to financial risk management This basic survey text offers an accessible introduction to financial risk management, covered in its major components: credit, market, operational, liquidity, legal, and reputational, along with user-friendly processes and tools to conduct your own risk assessments and risk alignments. While there are some mathematical concepts included, these are kept at levels everyone will find easy to grasp. Provides a comprehensive overview of financial risk management, including credit, market, operational, liquidity, legal, and reputational risk areas Discusses the latest trends and next generation techniques emerging in financial risk management Provides risk assessment and risk alignment tools and examples This book offers a good basic understanding of the major areas of risk exposure that all organizations, both public and private, face in operating in today's complex global marketplace. It provides insights into best practices and next generation techniques for readers entering government, not-for-profit, business, and IT positions in which risk management will play an ever expanding role.

Enterprise Compliance Risk Management

The answer is yes and no, and it is this gray area of understanding on
compliance in the context of financial services ... to contextualize it from a
financial services perspective (or any other industry for that matter) and come up
with a working ...

Enterprise Compliance Risk Management

Author: Saloni Ramakrishna

Publisher: John Wiley & Sons

ISBN: 1118550323

Page: 320

View: 478

The tools and information that build effective compliance programs Enterprise Compliance Risk Management: An Essential Toolkit for Banks and Financial Services is a comprehensive narrative on managing compliance and compliance risk that enables value creation for financial services firms. Compliance risk management, a young, evolving yet intricate discipline, is occupying center stage owing to the interplay between the ever increasing complexity of financial services and the environmental effort to rein it in. The book examines the various facets of this layered and nuanced subject. Enterprise Compliance Risk Management elevates the context of compliance from its current reactive stance to how a proactive strategy can create a clear differentiator in a largely undifferentiated market and become a powerful competitive weapon for organizations. It presents a strong case as to why it makes immense business sense to weave active compliance into business model and strategy through an objective view of the cost benefit analysis. Written from a real-world perspective, the book moves the conversation from mere evangelizing to the operationalizing a positive and active compliance management program in financial services. The book is relevant to the different stakeholders of the compliance universe - financial services firms, regulators, industry bodies, consultants, customers and compliance professionals owing to its coverage of the varied aspects of compliance. Enterprise Compliance Risk Management includes a direct examination of compliance risk, including identification, measurement, mitigation, monitoring, remediation, and regulatory dialogue. With unique hands-on tools including processes, templates, checklists, models, formats and scorecards, the book provides the essential toolkit required by the practitioners to jumpstart their compliance initiatives. Financial services professionals seeking a handle on this vital and growing discipline can find the information they need in Enterprise Compliance Risk Management. Enterprise Compliance Risk Management: An Essential Toolkit for Banks and Financial Services is a comprehensive narrative on managing compliance and compliance risk that enables value creation for financial services firms. Compliance risk management, a young, evolving yet intricate discipline, is occupying center stage owing to the interplay between the ever increasing complexity of financial services and the environmental effort to rein it in. The book examines the various facets of this layered and nuanced subject. Enterprise Compliance Risk Management elevates the context of compliance from its current reactive stance to how a proactive strategy can create a clear differentiator in a largely undifferentiated market and become a powerful competitive weapon for organizations. It presents a strong case as to why it makes immense business sense to weave active compliance into business model and strategy through an objective view of the cost benefit analysis. Written from a real-world perspective, the book moves the conversation from mere evangelizing to the operationalizing a positive and active compliance management program in financial services. The book is relevant to the different stakeholders of the compliance universe - financial services firms, regulators, industry bodies, consultants, customers and compliance professionals owing to its coverage of the varied aspects of compliance. Enterprise Compliance Risk Management includes a direct examination of compliance risk, including identification, measurement, mitigation, monitoring, remediation, and regulatory dialogue. With unique hands-on tools including processes, templates, checklists, models, formats and scorecards, the book provides the essential toolkit required by the practitioners to jumpstart their compliance initiatives. Financial services professionals seeking a handle on this vital and growing discipline can find the information they need in Enterprise Compliance Risk Management.

Health Care Budgeting and Financial Management for Non financial Managers

Chapter 3 Cost and Cost Behavior In health care, the focus of management
responsibility is, for the most part, the control of ... In the health care industry, cost
accounting has assumed a retrospective posture, providing information regarding
what costs were and how ... and hold line management responsible for
compliance.

Health Care Budgeting and Financial Management for Non financial Managers

Author: William J. Ward

Publisher: Greenwood Publishing Group

ISBN: 9780865692312

Page: 255

View: 338

The basic premise of this book is that health care non-financial managers need to understand enough about financial management to be successful in their day-to-day activities while not being smothered with details. Ward provides managers with a basic level of financial management principles, including understanding financial statements and ratios, preparing an operating budget, and using financial analysis to help with decision making. Written in plain English, the text is interspersed with illustrative cases and examples gleaned from more than twenty years of experience in both operational and financial areas and in both staff and management capacities. The text is sophisticated enough to be used by graduate students and practitioners as well as undergraduate programs in health services administration. It is also suited for independent study by professionals seeking to enhance their professional development. Lastly, it is useful as a day-to-day reference for managers in all fields in health care.

Recent Developments in Alternative Finance

In some industries, companies have created codes of conduct for suppliers and
distributors. ... Unless management sends clear and strong signals throughout
the value chain that it expects compliance not just with the stipulations of the
code, ...

Recent Developments in Alternative Finance

Author: William A. Barnett

Publisher: Emerald Group Publishing

ISBN: 1781903999

Page: 342

View: 322

Since the global financial crisis began in 2008-2009, there has been a strong decline in financial markets and investment, and significant economic recession for most developed and emerging economies. Accordingly, new forms of alternative finance, management, control, accounting, trading and investment are being sought. Alternative finance presents challenges intended to stimulate investment and promote economic growth and development, as well as provide a return on investment during turbulent times. This volume aims to provide the reader with a comprehensive understanding of alternative finance in its various forms. It addresses the impact of the financial crisis and the failure of monetary and financial institutions to manage financial markets and handle the recent downturn. It also presents and discusses new research findings associated with alternative forms of investment and finance, and their economic and political implications.