Conduct and Accountability in Financial Services

A Practical Guide

Stacey English, Susannah Hammond

$150

Paperback

Not in-store but you can order this
How long will it take?

Availability Information

We source books from suppliers in Australia and overseas. For books we don't currently have in stock, the time it takes to get them from our suppliers can vary widely - from a few days to a few months - so we check each book with each supplier to determine the expected time it will take to be supplied to us.

We then advise you accordingly. If the time taken to get any book is too long for you, you can let us know and we will cancel or adjust your order, and refund as required.

To find out the anticipated arrival time for specific items prior to ordering, please contact us by phone or email:

Phone +61 2 9264 3111, or 1800 4 BOOKS (1800 4 26657) if outside Sydney:
option 1 Abbey's Bookshop (Crime, History, Science, Kids & more) • info@abbeys.com.au
option 2 Language Book Centre (ESL & Foreign Languages) • language@abbeys.com.au
option 3 Galaxy Bookshop (Sci-fi, Fantasy, Romance, Graphic Novels) • sf@galaxybooks.com.au

QTY:

English

Bloomsbury Professional
29 November 2018

Financial services industry; Banking law; Financial services law & regulation; Insurance law

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.

This title is included in Bloomsbury Professional's Banking and Finance online service.

By: Stacey English, Susannah Hammond
Imprint: Bloomsbury Professional
Country of Publication: United Kingdom
Dimensions: Height: 248mm, Width: 156mm,
Weight: 584g
ISBN: 9781526505200
ISBN 10: 1526505207
Pages: 360
Publication Date: 29 November 2018
Audience: Professional and scholarly , Undergraduate
Format: Paperback
Publisher's Status: Active

Stacey English is head of regulatory intelligence for Thomson Reuters with 20 years of regulatory compliance, risk and audit experience in financial services as a regulator and practitioner. Susannah Hammond is senior regulatory intelligence expert for Thomson Reuters with more than 25 years of wide-ranging compliance, regulatory and risk experience in international and UK financial services.

Reviews for Conduct and Accountability in Financial Services: A Practical Guide

...provide[s] an excellent overview of conduct, culture, and governance expectations worldwide and talk[s] about the implications of the global focus on culture and conduct risk. -- Julie DiMauro * The FCPA Blog * As an article contributor to the Journal of Financial Compliance 2022, I found the text by English and Hammond an invaluable source of accurate regulatory compliance information to draw from. Well laid out, clear and detailed, I also look forward to the second edition of this important contribution to the field. -- EMEA Head of Commercial Bank Compliance, Citi * Rocky Hirst *