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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.
List of contents
Chapter 1. Introduction.- Chapter 2. Compliance Norms and Legal Coherence.- Chapter 3. Compliance in Financial Institutions - Tasks, Functions and Structure.- Chapter 4. The Scope Compliance Norms in Financial Institutions.- Chapter 5. The Impact of Cultural Differences on Compliance Norms.- Chapter 6. Organizing Postulates - A Proposal for A Model Approach.
About the author
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.
Summary
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.
