Details

Governance, Compliance and Supervision in the Capital Markets


Governance, Compliance and Supervision in the Capital Markets


Wiley Finance 1. Aufl.

von: Sarah Swammy, Michael McMaster

57,99 €

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

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Beschreibungen

<p><b>The definitive guide to capital markets regulatory compliance</b></p> <p><i>Governance, Compliance, and Supervision in the Capital Markets</i> 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.</p> <p>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.</p> <ul> <li>Understand the importance of governance and "Tone at the Top"</li> <li>Distinguish the roles of compliance and supervision within a financial services organization</li> <li>Delve into the regulatory scheme applicable to broker dealers, banks, and investment advisors</li> </ul> <ul> <li>Examine the risks and consequences of inadequate supervision at the organizational or individual level</li> </ul> <p>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. <i>Governance, Compliance, and Supervision in the Capital Markets</i> provides both, enabling today's banks and financial services firms to get back on track and get back to business.</p>
<p>Preface vi</p> <p>Acknowledgments vii</p> <p>About the Authors ix</p> <p>CHAPTER 1 Capital Markets Participants, Products, and Functions 1</p> <p>CHAPTER 2 How the Financial Crisis Reshaped the Industry 23</p> <p>CHAPTER 3 Governance 33</p> <p>CHAPTER 4 Overview: Capital Markets Compliance 57</p> <p>CHAPTER 5 Overview: Supervision 89</p> <p>CHAPTER 6 Central Role of Finance and Operations 99<br /><i>Ian J. Combs, Esq.</i></p> <p>CHAPTER 7 Cyber Risk Role in Governance Model and Compliance Framework 129<br /><i>Alexander Abramov</i></p> <p>About the Companion Website 157</p> <p>Index 159</p>
<p><b>SARAH SWAMMY</b> 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. <p><b>MICHAEL M<small>C</small>MASTER</b> 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.
<p><b>The definitive guide to capital markets regulatory compliance</b> <p>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. <p>From regulatory schemes to individual roles and responsibilities, <i>Governance, Compliance, and Supervision in the Capital Markets</i>: <ul> <li>Presents a coherent framework for firms seeking a practical approach to meeting the latest requirements</li> <li>Provides an overview of governance, compliance, and supervision</li> <li>Highlights the most pressing issues in today's financial services organizations</li> <li>Delivers detailed guidance on application with examples of real-world implementation</li> <li>Includes a companion website with checklists and other valuable tools, as well as sample exercises that reinforce understanding and help facilitate implementation</li> </ul> <p>Demystifying today's complex regulatory environment and providing a practical, accessible, readily adaptable roadmap for compliance, <i>Governance, Compliance, and Supervision in the Capital Markets</i> is a must-have "tool of the trade" for all financial institutions and finance professionals.

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