Compliance Norms in Financial Institutions

Measures, Case Studies and Best Practices

Authors: Braun, Tomasz

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  • Explores how the matrix organisational structure impacts compliance in corporations and what the mechanisms are for cross-border efficiency of compliance norms
  • Assesses and manages the non-compliance "risk appetite" and how compliance can be used as a tool to limit product and process liabilities
  • Includes case studies of major real-life non-compliance examples that resulted in serious fines
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  • ISBN 978-3-030-24966-3
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Hardcover $119.99
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  • ISBN 978-3-030-24965-6
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About this book

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.


About the authors

Tomasz Braun graduated with his PhD from the Faculty of Law and Administration of Lazarski University, Poland. Since then, he has been a lecturer for courses in corporate law for the same institution. His research areas include banking, finance, M&As and restructuring. Dr. Braun’s professional background also includes consulting in cross-border transactions, post-acquisition integration projects, implementing restructuring programmes and dispute resolutions—as a general counsel in global financial institutions and as a partner in international law firms.

Table of contents (6 chapters)

Table of contents (6 chapters)

Buy this book

eBook $64.99
price for USA (gross)
  • ISBN 978-3-030-24966-3
  • Digitally watermarked, DRM-free
  • Included format: EPUB, PDF
  • ebooks can be used on all reading devices
  • Immediate eBook download after purchase
Hardcover $119.99
price for USA
  • ISBN 978-3-030-24965-6
  • Free shipping for individuals worldwide
  • Usually dispatched within 3 to 5 business days.

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Bibliographic Information

Bibliographic Information
Book Title
Compliance Norms in Financial Institutions
Book Subtitle
Measures, Case Studies and Best Practices
Authors
Copyright
2019
Publisher
Palgrave Macmillan
Copyright Holder
The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Switzerland AG
eBook ISBN
978-3-030-24966-3
DOI
10.1007/978-3-030-24966-3
Hardcover ISBN
978-3-030-24965-6
Edition Number
1
Number of Pages
VII, 356
Number of Illustrations
1 b/w illustrations
Topics