Legal Risk Management Governance And Compliance
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| Author | : Geoffrey P. Miller |
| Publisher | : Aspen Publishers |
| Total Pages | : 0 |
| Release | : 2017 |
| Genre | : Compliance |
| ISBN | : 9781454881988 |
The second edition of The Law of Governance, Risk Management, and Compliance follows the first edition, as the first casebook focused on the law of governance, risk management, and compliance. Author Geoffrey P. Miller, a highly respected professor of corporate and financial law, brings real world experience to the book as a member of the board of directors and audit and risk committees of a significant banking institution. The book addresses issues of fundamental importance for any regulated organization (the $13 billion settlement between JPMorgan Chase and its regulators is only one of many examples). This book can be a cornerstone for courses on compliance, corporate governance, or on the role of attorneys in managing risk in organizational clients.
| Author | : Anthony Tarantino |
| Publisher | : John Wiley & Sons |
| Total Pages | : 1123 |
| Release | : 2008-03-11 |
| Genre | : Business & Economics |
| ISBN | : 0470245557 |
Providing a comprehensive framework for a sustainable governance model, and how to leverage it in competing global markets, Governance, Risk, and Compliance Handbook presents a readable overview to the political, regulatory, technical, process, and people considerations in complying with an ever more demanding regulatory environment and achievement of good corporate governance. Offering an international overview, this book features contributions from sixty-four industry experts from fifteen countries.
| Author | : Stuart Weinstein |
| Publisher | : Globe Law and Business Limited |
| Total Pages | : 0 |
| Release | : 2013 |
| Genre | : Business & Economics |
| ISBN | : 9781905783946 |
In today's globalised business environment, companies face a complex assortment of new and often contradictory laws and regulations. High-profile corporate scandals involving compliance failures teach us that loss of reputation can have a significant, if not fatal, effect on a company. International companies recognise this and invest heavily in systems designed to detect and prevent compliance breaches. However, such systems and controls cannot succeed without the development of a strong compliance culture that secures buy-in from executives, managers, employees, contractors and business partners all at levels. This title offers cutting edge know-how and guidance for the development and management of a sophisticated legal risk management and compliance operation. While identifying risks and regulatory challenges, chapters also explore how professionals can manage processes; implement change; track issues and loss events; screen potential clients, partners, employees and contractors; and implement appropriate remediation. The book features chapters on board structures, corporate governance, fraud and bribery, Sarbanes-Oxley requirements, European capital markets regulation, arbitration and mediation, data protection, offshoring and the cloud, human resources issues for managers, and managing legal risk in China. Legal Risk Management, Governance and Compliance is a must-have desk reference for in-house corporate counsel and compliance officers, individuals involved in the compliance, audit, legal and risk functions within companies and non-profit organisations, as well as the law firms that service these organisations' needs.--
| Author | : Richard M. Steinberg |
| Publisher | : John Wiley & Sons |
| Total Pages | : 339 |
| Release | : 2011-08-02 |
| Genre | : Business & Economics |
| ISBN | : 1118024303 |
An expert's insider secrets to how successful CEOs and directors shape, lead, and oversee their organizations to achieve corporate goals Governance, Risk Management, and Compliance shows senior executives and board members how to ensure that their companies incorporate the necessary processes, organization, and technology to accomplish strategic goals. Examining how and why some major companies failed while others continue to grow and prosper, author and internationally recognized expert Richard Steinberg reveals how to cultivate a culture, leadership process and infrastructure toward achieving business objectives and related growth, profit, and return goals. Explains critical factors that make compliance and ethics programs and risk management processes really work Explores the board's role in overseeing corporate strategy, risk management, CEO compensation, succession planning, crisis planning, performance measures, board composition, and shareholder communications Highlights for CEOs, senior management teams, and board members the pitfalls to avoid and what must go right for success Outlines the future of corporate governance and what's needed for continued effectiveness Written by well-known corporate governance and risk management expert Richard Steinberg Governance, Risk Management, and Compliance lays a sound foundation and provides critical insights for understanding the role of governance, risk management, and compliance and its successful implementation in today's business environment.
| Author | : Alexander Dill |
| Publisher | : Taylor & Francis |
| Total Pages | : 345 |
| Release | : 2019-10-01 |
| Genre | : Law |
| ISBN | : 1000702731 |
Bank Regulation, Risk Management, and Compliance is a concise yet comprehensive treatment of the primary areas of US banking regulation – micro-prudential, macroprudential, financial consumer protection, and AML/CFT regulation – and their associated risk management and compliance systems. The book’s focus is the US, but its prolific use of standards published by the Basel Committee on Banking Supervision and frequent comparisons with UK and EU versions of US regulation offer a broad perspective on global bank regulation and expectations for internal governance. The book establishes a conceptual framework that helps readers to understand bank regulators’ expectations for the risk management and compliance functions. Informed by the author’s experience at a major credit rating agency in helping to design and implement a ratings compliance system, it explains how the banking business model, through credit extension and credit intermediation, creates the principal risks that regulation is designed to mitigate: credit, interest rate, market, and operational risk, and, more broadly, systemic risk. The book covers, in a single volume, the four areas of bank regulation and supervision and the associated regulatory expectations and firms’ governance systems. Readers desiring to study the subject in a unified manner have needed to separately consult specialized treatments of their areas of interest, resulting in a fragmented grasp of the subject matter. Banking regulation has a cohesive unity due in large part to national authorities’ agreement to follow global standards and to the homogenizing effects of the integrated global financial markets. The book is designed for legal, risk, and compliance banking professionals; students in law, business, and other finance-related graduate programs; and finance professionals generally who want a reference book on bank regulation, risk management, and compliance. It can serve both as a primer for entry-level finance professionals and as a reference guide for seasoned risk and compliance officials, senior management, and regulators and other policymakers. Although the book’s focus is bank regulation, its coverage of corporate governance, risk management, compliance, and management of conflicts of interest in financial institutions has broad application in other financial services sectors. Chapter 6 of this book is freely available as a downloadable Open Access PDF at http://www.taylorfrancis.com under a Creative Commons Attribution-Non Commercial-No Derivatives (CC-BY-NC-ND) 4.0 license.
| Author | : Matthew Whalley |
| Publisher | : Kogan Page Publishers |
| Total Pages | : 232 |
| Release | : 2016-12-03 |
| Genre | : Business & Economics |
| ISBN | : 0749477989 |
Legal risk covers all areas of business where regulation and the law impact on operations and decisions. From risks arising from contract drafting and management, through to regulators' new focus on conduct, as well as compliance, regulatory and dispute risks, the effective management of legal risk is key for organizations that want to maximise value while minimizing cost and exposure to legal losses. The Legal Risk Management Handbook is a practical guide to making sure your business is legal, protected and making the most of its opportunities. Written by experts in law and risk management, this highly practical guide sets out a clear definition for legal risk and a framework for its management. Covering the full spectrum of legal risks that international businesses can face, it translates legal concepts into clear mitigatory actions. Whether you are an in-house lawyer needing a clear approach to managing risk in your areas of influence, or a member of the risk management function needing a jargon-free guide to your company's legal responsibilities, you will find authoritative insight and guidance. Containing case studies from international businesses and real-life insights from those at the coal-face of legal risk management, The Legal Risk Management Handbook is essential reading for everyone who needs a better understanding of this important business topic. Now includes online resources: author-recorded lectures that align with the book and the Legal Risk Management course at Texas A&M School of Law, U.S.
| Author | : Geoffrey P. Miller |
| Publisher | : Aspen Publishing |
| Total Pages | : 1243 |
| Release | : 2019-09-13 |
| Genre | : Law |
| ISBN | : 1543815995 |
The purchase of this ebook edition does not entitle you to receive access to the Connected eBook on CasebookConnect. You will need to purchase a new print book to get access to the full experience including: lifetime access to the online ebook with highlight, annotation, and search capabilities, plus an outline tool and other helpful resources. Geoffrey Miller’s The Law of Governance, Risk Management and Compliance is widely credited for introducing a new field of legal studies. Compliance and its related subjects of governance and risk management are major sources of jobs and also important developments in legal practice. The billions of dollars of fines paid over the past decade and the burgeoning and seemingly never-ending parade of compliance and risk management breakdowns – recently including the Wells Fargo sales practices scandal, the Volkswagen emissions cheat, and the Boeing 737 MAX crisis – all attest to the importance of the issues treated in this readable and timely book. New to the Third Edition: Comprehensive updates on recent developments New treatment of compliance failures: Wells Fargo account opening scandal, Volkswagen emissions cheat, important developments in Catholic Church sex abuse scandal. New treatment of risk management failures: the Boeing 737 MAX scandal. Professors and students will benefit from: Clear, concise definitions Fun and interesting problems Real-world perspective from an author who has been involved both as a scholar and as a member of a corporate board of directors Highly readable and interesting writing Text boxes containing key concepts and definitions Realistic problems for class discussion and analysis
| Author | : OECD |
| Publisher | : OECD Publishing |
| Total Pages | : 251 |
| Release | : 2010-04-09 |
| Genre | : |
| ISBN | : 926408293X |
This publication presents recent OECD papers on risk and regulatory policy. They offer measures for developing, or improving, coherent risk governance policies.
| Author | : Benjamin van Rooij |
| Publisher | : Cambridge University Press |
| Total Pages | : 1559 |
| Release | : 2021-05-20 |
| Genre | : Law |
| ISBN | : 1108754139 |
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.
| Author | : Saloni Ramakrishna |
| Publisher | : John Wiley & Sons |
| Total Pages | : 320 |
| Release | : 2015-09-04 |
| Genre | : Business & Economics |
| ISBN | : 1118550323 |
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.
