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Governance, Compliance and Supervision in the Capital Markets, + Website


Governance, Compliance and Supervision in the Capital Markets, + Website


Wiley Finance 1. Aufl.

von: Sarah Swammy, Michael McMaster

48,99 €

Verlag: Wiley
Format: EPUB
Veröffentl.: 20.04.2018
ISBN/EAN: 9781119380641
Sprache: englisch
Anzahl Seiten: 176

DRM-geschütztes eBook, Sie benötigen z.B. Adobe Digital Editions und eine Adobe ID zum Lesen.

Beschreibungen

The definitive guide to capital markets regulatory compliance Governance, Compliance, and Supervision in the Capital Markets demystifies the regulatory environment, providing a practical, flexible roadmap for compliance. Banks and financial services firms are under heavy regulatory scrutiny, and must implement comprehensive controls to comply with new rules that are changing the way they conduct business. This book provides a way forward, with clear, actionable guidance that strengthens governance at all levels, and balances supervisory and compliance requirements with the need to do business. From regulatory schemes to individual roles and responsibilities, this invaluable guide details the most pressing issues in today's financial services organizations, and provides expert advice. The ancillary website provides additional tools and guidance, including checklists, required reading, and sample exercises that help strengthen understanding and ease real-world implementation. Providing both a broad overview of governance, compliance, and supervision, as well as detailed guidance on application, this book presents a solid framework for firms seeking a practical approach to meeting the new requirements. Understand the importance of governance and "Tone at the Top" Distinguish the roles of compliance and supervision within a financial services organization Delve into the regulatory scheme applicable to broker dealers, banks, and investment advisors Examine the risks and consequences of inadequate supervision at the organizational or individual level The capital markets regulatory environment is complex and ever-evolving, yet compliance is mandatory. A solid understanding of regulatory structure is critical, but must also be accompanied by a practical strategy for effective implementation. Governance, Compliance, and Supervision in the Capital Markets provides both, enabling today's banks and financial services firms to get back on track and get back to business.
Preface vi Acknowledgments vii About the Authors ix CHAPTER 1 Capital Markets Participants, Products, and Functions 1 CHAPTER 2 How the Financial Crisis Reshaped the Industry 23 CHAPTER 3 Governance 33 CHAPTER 4 Overview: Capital Markets Compliance 57 CHAPTER 5 Overview: Supervision 89 CHAPTER 6 Central Role of Finance and Operations 99Ian J. Combs, Esq. CHAPTER 7 Cyber Risk Role in Governance Model and Compliance Framework 129Alexander Abramov About the Companion Website 157 Index 159
SARAH SWAMMY is a Senior Vice President and Chief Operating Officer for the Portfolio Solutions businesses both in State Street Global Market, LLC, a registered broker-dealer subsidiary of State Street Bank and Trust, and in State Street Bank and Trust. She is also a member of the Global Markets Business Risk Committee. Sarah joined State Street from BNY Mellon where she held several leadership positions including Business Manager and Head of Supervision for BNY Mellon Capital Markets, LLC, Chief Administrative Officer for BNY Mellon Global Markets, and principal overseeing the sales and trading businesses. Sarah has held compliance positions at Deutsche Bank Securities, Inc., CSFB, and Barclays Capital, Inc. MICHAEL MCMASTER is a Managing Director and Chief Compliance Officer for BNY Mellon Capital Markets, LLC, a broker-dealer affiliate of BNY Mellon, Chief Compliance Officer for BNY Mellon's Broker Dealer Services Division and Head of BNY Mellon's Shared Services Compliance Group.
The regulatory environment in today's capital markets is more complex and, due to the ever-changing political winds blowing out of Washington, more uncertain than ever. Charting a clear route through this ever-shifting seascape has never been more critical or more fraught with potential hazards. Edited with contributions by two senior industry professionals, this book arms banks, financial services firms, broker-dealers, and financial advisors with the knowledge and practical guidance they need to safely navigate those treacherous seas. Practical, accessible, and readily adaptable to the unique needs of your organization, Governance, Compliance, and Supervision in the Capital Markets provides you with a thorough understanding of the overall regulatory structure governing today's capital markets while offering practical strategies and tools to help facilitate effective implementation of all mandatory rules, regulations, and standards. Throughout, the authors take special care to balance supervisory and compliance requirements against the need to do business in a highly competitive environment. Featuring contributions from recognized experts in governance, compliance, and finance law, Governance, Compliance, and Supervision in the Capital Markets: Demystifies today's capital market regulatory environment Offers a highly practical approach to meeting all regulatory requirements Develops a solid, yet flexible framework for financial institution governance Clarifies the roles of compliance and supervision within a financial services organization Delves into the regulatory scheme as it applies to broker-dealers, banks, and investment advisors Explores the risks and potential consequences of inadequate supervision at both the organizational or individual level Uses real-world examples to illustrate the effect which the "Tone at the Top" can have at all levels of a financial organization Provides a flexible road map that readers can build upon throughout their careers An indispensable working resource for financial institutions and finance professionals, Governance, Compliance, and Supervision in the Capital Markets provides a solid framework for getting back on track and getting back to business.
The definitive guide to capital markets regulatory compliance Banks and financial services firms currently are under heavy regulatory scrutiny and must implement comprehensive controls to comply with new rules that are changing the way they conduct business. This book provides a way forward, with clear, actionable guidance that strengthens governance at all levels. Throughout, the authors take care to balance supervisory and compliance requirements against the need to do business. From regulatory schemes to individual roles and responsibilities, Governance, Compliance, and Supervision in the Capital Markets: Presents a coherent framework for firms seeking a practical approach to meeting the latest requirements Provides an overview of governance, compliance, and supervision Highlights the most pressing issues in today's financial services organizations Delivers detailed guidance on application with examples of real-world implementation Includes a companion website with checklists and other valuable tools, as well as sample exercises that reinforce understanding and help facilitate implementation Demystifying today's complex regulatory environment and providing a practical, accessible, readily adaptable roadmap for compliance, Governance, Compliance, and Supervision in the Capital Markets is a must-have "tool of the trade" for all financial institutions and finance professionals.

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