| Document Type
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BL
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| Record Number
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861198
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| Title & Author
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Financial compliance : : issues, concerns and future directions /\ edited by Maria Krambia-Kapardis.
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| Publication Statement
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Cham, Switzerland :: Palgrave Macmillan,, [2019]
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| Page. NO
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1 online resource
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| ISBN
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3030145115
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: 9783030145118
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9783030145101
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| Bibliographies/Indexes
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Includes bibliographical references and index.
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| Contents
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Intro; Acknowledgements; Contents; Notes on Contributors; List of Figures; List of Tables; Introduction; Chapter 1 Understanding Compliance with Laws and Regulations: A Mechanism-Based Approach; 1 Introduction; 2 A Mechanism-Based Approach; Explaining Lower-Than-Expected Compliance: A Study in English Prisons; Purposes of the Analysis of Compliance; 3 A Mechanism-Based Typology of Legal Compliance; Instrumental (or Prudential) Compliance; Incentives and Disincentives as Mechanisms of Compliance; 'Creative Compliance'; Normative Compliance; Legitimacy and Compliance
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7 ConclusionReferences; Chapter 4 Compliance: From Soft Law to Hard Law-A View from France; 1 Soft Compliance; Non-legally Binding Instruments; 2 The Role of the NGOs; 3 When Soft Law Prompts Hard Law; 4 The Transition to Hard Law; The Duty of Care; Other Fields of Law; 5 Conclusion; References; Chapter 5 Living with the New General Data Protection Regulation (GDPR); 1 Introduction; 2 Background to the GDPR; 3 A High-Level Overview of the GDPR; Scope; 4 How Businesses Have Attempted to Comply with GDPR; Approach Through 2016-2018; Early 2018; 25 May 2018 and the Immediate Aftermath
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A Project Approach (or Not?)5 How Regulators Are Enforcing the Regulation; 6 How Businesses Should Ensure Compliance That Is Practical; A Risk-Based Approach; Examples of GDPR Challenges and Navigation; Organisations Dealing with Minors; Subscription-Based Organisations and Publishers; Cookies; 7 What Does the Future Hold for Data Compliance?; Financial Crime: An Example of Improving Standards; 8 Conclusions; References; Chapter 6 Risk-Based Financial Regulation and Compliance Officer Liability; 1 Introduction; 2 Risk and Financial Services Regulation
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Acceptance of, or Belief in, Social NormsNormative Attachment and Compliance; Compliance Through Normative Cues; Situational Compliance; Architectural Constraint-Based Compliance; Architectural Enablement; Social-Structural Constraint-Based Compliance; Social-Structural Enablement; Compliance Based on Habit or Routine; 4 Interactions Between Different Mechanisms of Compliance; The Instrumental and the Normative; Interaction Effects from Situational Measures; 5 The Nielsen-Parker Holistic Compliance Model; Business Motives; Internal Influences; External Influences; 6 Conclusion; References
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Chapter 2 Legitimacy and Regulatory Compliance1 Introduction; 2 What Is Legitimacy?; 3 Mechanism for Legitimising Organisations; Lawfulness; Procedural Justice; Distributive Justice; Effectiveness; 4 Legitimacy and Employee Behaviour; 5 Conclusion; References; Chapter 3 The Uncertain Professional Status of Compliance; 1 Introduction; 2 The Triumph of Compliance; 3 Compliance's Incomplete Professional Status; 4 The Negative Effects of Compliance's Incomplete Professionalism; 5 Reasons for the Uncertain Professional Status of Compliance; 6 The Future of Compliance as a Profession
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| Abstract
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This book explores the fundamental elements and risks that impact the compliance officer's work. Following a comprehensive understanding of the role of a compliance officer, by engaging with themes of compliance officers' liability, expectations, risks and effectiveness, it provides practical answers by leading academics and practitioners in the field. This work also draws on how other areas, such as GDPR, financial regulation and whistleblowing, challenges on compliance officers and provides a way forward to convert these challenges into opportunities. The discussion of compliance challenges and practices in Australia, Europe and the United States provides critical insights into the development of compliance in today's financial environment. Financial Compliance: Issues, Concerns and Future Directions provides an invaluable working resource for academics, practitioners and a general audience interested in understanding and developing an effective compliance culture.
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| Subject
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Compliance.
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| Subject
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Corporations-- Finance-- Law and legislation.
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Corporations-- Finance-- Management.
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Compliance.
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Corporations-- Finance-- Law and legislation.
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Corporations-- Finance-- Management.
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| Subject
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LAW-- Administrative Law Regulatory Practice.
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| Dewey Classification
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346.730642
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| LC Classification
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K1330
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| Added Entry
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Krambia-Kapardis, Maria
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