Integrated compliance and total risk management: creating a bankwide compliance program that works
Gespeichert in:
| 1. Verfasser: | |
|---|---|
| Format: | Buch |
| Sprache: | English |
| Veröffentlicht: |
Chicago, Ill. u.a.
Probus Publ. Co.
1994
|
| Schriftenreihe: | A bankline publication
|
| Schlagworte: | |
| Online-Zugang: | Inhaltsverzeichnis |
| Beschreibung: | XIV, 252 S. graph. Darst. |
| ISBN: | 1557383979 |
Internformat
MARC
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| 245 | 1 | 0 | |a Integrated compliance and total risk management |b creating a bankwide compliance program that works |c Mark G. Arthus |
| 264 | 1 | |a Chicago, Ill. u.a. |b Probus Publ. Co. |c 1994 | |
| 300 | |a XIV, 252 S. |b graph. Darst. | ||
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| 338 | |b nc |2 rdacarrier | ||
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| 650 | 4 | |a Bank management | |
| 650 | 4 | |a Banks and banking -- United States -- State supervision | |
| 650 | 4 | |a Banking law -- United States | |
| 650 | 4 | |a Risk management | |
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Datensatz im Suchindex
| _version_ | 1804124346476658688 |
|---|---|
| adam_text | Contents
Preface ix
Introduction xiii
Part I Total Integrated Compliance 1
1 Integrated Risk Based Compliance—A Better Solution 3
Compliance Validation, and Not Testing, As a
Risk Management Tool 6
2 Assessment of Common Problems and Resulting
Risk to an Organization 9
I. There Is No Consistent, Formal, Organization Wide
Approach to Compliance and Risk Management 10
II. Outdated, Incomplete, and Inconsistently Applied
Policies and Procedures 11
III. Compliance and Risk Management Education and
Awareness Are Poor 14
rV. Lack of or Poor Compliance and Risk
Management Controls 16
V. No Compliance Validation Program 17
VI. No Business Wide Management Review 18
VII. Weak Internal Audit Relationship and Interface 23
Why a New Approach Is Necessary. Why the
Old Approach Won t Work 27
Why a Small Compliance Staff Is Better Than a Large One 28
If It Isn t Broken See If It Needs Fixing 32
3 You May Know More Than You Think! 35
1. Keep It Simple 35
2. Line Management Must Be Responsible 40
4 Achieving a More Competitive Offering 43
Quality 46
Lower Costs 54
v
vi Contents
5 Responding to the Increased Sensitivity
of the Regulators 59
I. Compliance and Risk Management Examination 60
II. Risk Management Examinations 60
OCC Review of Another Bank 62
Seeing the Big Picture 66
Part II Total Risk Management 71
6 Effective Risk Management: Identify, Minimize,
and Manage Risk—At All Levels 73
Applying Risk Management 76
I. Definition of Risk 77
II. Identify Risk 82
Managing the Risk 92
Part III Establishing an Integrated Bank Compliance
Program—The Eight Components 97
7 Basic Requirements of an Integrated Compliance
and Total Risk Management Program 99
8 Module I—Total Organizational Management
Commitment, Top Down 105
Not My Job 106
Discussion Points 108
9 Module II—Current and Accurate Policy and
Procedure Manuals 113
Discussion Points 114
10 Module HI—Ongoing and Thorough Education
Program 127
Discussion Points 130
Motorola on Training and Education 132
11 Module IV—Compliance Validation Program 135
Discussion Points 136
Compliance Validation Program 136
Contents vii
12 Module V—Strong Compliance and Risk
Management Controls 183
The Total Business Compliance Certification Program 185
The Risk Management Review Committee 192
13 Module VI—Well and Consistently Informed
Management and Staff 199
14 Module VII—Adequate Staffing in the
Business Units 205
The Compliance Designate 205
Basic Responsibilities 206
Effectiveness 207
15 Module VIII—Internal Audit as a Team Member 209
Part IV Compliance Ownership and Accountability 213
16 Developing a Risk Based Compliance Team 215
Developing an Integrated Compliance and
Risk Management Team 216
Compliance Oversight and Responsibility 217
Board of Directors and Audit Committee Responsibilities 217
Role of Line Management 221
Role of the Compliance Officer and Compliance Function 223
Role of Audit 225
Role of Legal 226
17 Common Challenges in Developing an Effective
Program 227
18 The Need for Ethical Standards for an Effective
Compliance Program 233
19 Continuing Integrated Compliance and Total Risk
Management Long into the Future 239
Index 243
|
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| id | DE-604.BV009974274 |
| illustrated | Illustrated |
| indexdate | 2024-07-09T17:44:12Z |
| institution | BVB |
| isbn | 1557383979 |
| language | English |
| oai_aleph_id | oai:aleph.bib-bvb.de:BVB01-006609670 |
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| physical | XIV, 252 S. graph. Darst. |
| publishDate | 1994 |
| publishDateSearch | 1994 |
| publishDateSort | 1994 |
| publisher | Probus Publ. Co. |
| record_format | marc |
| series2 | A bankline publication |
| spelling | Arthus, Mark G. Verfasser aut Integrated compliance and total risk management creating a bankwide compliance program that works Mark G. Arthus Chicago, Ill. u.a. Probus Publ. Co. 1994 XIV, 252 S. graph. Darst. txt rdacontent n rdamedia nc rdacarrier A bankline publication Bank Bank management Banks and banking -- United States -- State supervision Banking law -- United States Risk management Risikomanagement (DE-588)4121590-4 gnd rswk-swf USA Risikomanagement (DE-588)4121590-4 s DE-604 HBZ Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=006609670&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | Arthus, Mark G. Integrated compliance and total risk management creating a bankwide compliance program that works Bank Bank management Banks and banking -- United States -- State supervision Banking law -- United States Risk management Risikomanagement (DE-588)4121590-4 gnd |
| subject_GND | (DE-588)4121590-4 |
| title | Integrated compliance and total risk management creating a bankwide compliance program that works |
| title_auth | Integrated compliance and total risk management creating a bankwide compliance program that works |
| title_exact_search | Integrated compliance and total risk management creating a bankwide compliance program that works |
| title_full | Integrated compliance and total risk management creating a bankwide compliance program that works Mark G. Arthus |
| title_fullStr | Integrated compliance and total risk management creating a bankwide compliance program that works Mark G. Arthus |
| title_full_unstemmed | Integrated compliance and total risk management creating a bankwide compliance program that works Mark G. Arthus |
| title_short | Integrated compliance and total risk management |
| title_sort | integrated compliance and total risk management creating a bankwide compliance program that works |
| title_sub | creating a bankwide compliance program that works |
| topic | Bank Bank management Banks and banking -- United States -- State supervision Banking law -- United States Risk management Risikomanagement (DE-588)4121590-4 gnd |
| topic_facet | Bank Bank management Banks and banking -- United States -- State supervision Banking law -- United States Risk management Risikomanagement USA |
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