European Parliament Library

Strategies for compliance, tools, techniques and challenges in financial services, Alan Brener

"Compliance is a fundamental control function within regulated industries globally. This book provides an expert introduction to corporate compliance, using cases, examples and insights from the financial services sector and beyond. The author, an experienced compliance practitioner and academic, highlights compliance challenges, using examples such as Wells Fargo, whistleblowing in financial services, and the mis-selling of payment protection insurance in the UK banking sector. The book explores strategies for creating compliant cultures and fostering regulatory trust, whilst practical guidance is provided on anticipating regulatory changes. Addressing organisational obstruction and delay, the author presents a series of valuable tools and techniques for real world practice. An essential professional development resource for board directors, compliance officers and other senior managers, the book also provides a unique learning and development resource for students of corporate compliance globally"--, Provided by publisher
Table Of Contents
Introduction -- A new approach to compliance and the lessons from Wells Fargo -- Compliance and 'whistleblowing' and corporate psychology -- Compliance and Regulators -- Finding the right people and the key functions of the compliance organisation -- The operational tools of compliance -- 'Culture' within a business: structural and psychological issues and the role of compliance -- Training Corporate Organisations to be Compliant -- Lessons for Compliance officers from Regulatory Enforcement: the UK experience -- Lessons for Compliance officers from Regulatory enforcement actions and guidance: the US experience -- Conclusion
Literary Form
non fiction
Physical Description
1 online resource (xi, 264 pages)
Specific Material Designation
Form Of Item

Library Locations

  • EP Library Luxembourg

    Rue du Fort Thüngen, Luxembourg, L-1313, LU
  • EP Library Brussels

    60 rue Wiertz, Brussels, B-1047, BE
  • EP Library Strasbourg

    7 Place Adrien Zeller, Allée du Printemps, Strasbourg, F-67070, FR