Regulating (from) the inside :: the legal framework for internal control in banks and financial institutions /
"This book examines a key aspect of the post-financial crisis reform package in the EU and UK-the ratcheting up of internal control in banks and financial institutions. The legal framework for internal controls is an important part of prudential regulation, and internal control also constitutes...
Gespeichert in:
| 1. Verfasser: | |
|---|---|
| Format: | Elektronisch E-Book |
| Sprache: | English |
| Veröffentlicht: |
Oxford ; Portland, Oregon :
Hart Publishing,
2015.
|
| Schlagworte: | |
| Online-Zugang: | Volltext |
| Zusammenfassung: | "This book examines a key aspect of the post-financial crisis reform package in the EU and UK-the ratcheting up of internal control in banks and financial institutions. The legal framework for internal controls is an important part of prudential regulation, and internal control also constitutes a form of internal gatekeeping for financial firms so that compliance with laws and regulations can be secured. This book argues that the legal framework for internal control, which is a form of meta-regulation, is susceptible to weaknesses, and such weaknesses are critically examined by adopting an interdisciplinary approach. The book discusses whether post-crisis reforms adequately address the weaknesses in regulating internal control and proposes an alternative strategy to enhance the 'governance' effectiveness of internal control."--Bloomsbury Publishing |
| Beschreibung: | 1 online resource |
| Bibliographie: | Includes bibliographical references (pages 300-324) and index. |
| ISBN: | 9781509901388 1509901388 9781509901395 1509901396 9781782257691 1782257691 |
Internformat
MARC
| LEADER | 00000cam a2200000 i 4500 | ||
|---|---|---|---|
| 001 | ZDB-4-EBU-ocn921986058 | ||
| 003 | OCoLC | ||
| 005 | 20241004212047.0 | ||
| 006 | m o d | ||
| 007 | cr cnu|||unuuu | ||
| 008 | 150924s2015 enk ob 001 0 eng d | ||
| 040 | |a N$T |b eng |e rda |e pn |c N$T |d N$T |d IDEBK |d YDXCP |d CDX |d EBLCP |d DEBSZ |d IL4I4 |d IDB |d UAB |d OCLCQ |d U3W |d OCLCF |d OCLCQ |d NLE |d OTZ |d UKMGB |d OCLCQ |d YDX |d BLOOM |d LUN |d BRF |d OCLCQ |d OCLCO |d K6U |d OCLCQ |d OCLCO |d OCLCL |d SXB | ||
| 015 | |a GBB741981 |2 bnb | ||
| 016 | 7 | |a 017974962 |2 Uk | |
| 019 | |a 922451979 |a 926445740 |a 927488260 |a 1167626056 | ||
| 020 | |a 9781509901388 |q (electronic bk.) | ||
| 020 | |a 1509901388 |q (electronic bk.) | ||
| 020 | |a 9781509901395 | ||
| 020 | |a 1509901396 | ||
| 020 | |a 9781782257691 |q (online) | ||
| 020 | |a 1782257691 | ||
| 020 | |z 9781849465250 | ||
| 020 | |z 1849465258 | ||
| 035 | |a (OCoLC)921986058 |z (OCoLC)922451979 |z (OCoLC)926445740 |z (OCoLC)927488260 |z (OCoLC)1167626056 | ||
| 037 | |a 9781509901395 |b CodeMantra | ||
| 050 | 4 | |a HG1707.5 | |
| 072 | 7 | |a BUS |x 001010 |2 bisacsh | |
| 082 | 7 | |a 657.8333045 |2 23 | |
| 049 | |a MAIN | ||
| 100 | 1 | |a Chiu, Iris H.-Y., |e author. |0 http://id.loc.gov/authorities/names/n2009005162 | |
| 245 | 1 | 0 | |a Regulating (from) the inside : |b the legal framework for internal control in banks and financial institutions / |c Iris H-Y Chiu. |
| 264 | 1 | |a Oxford ; |a Portland, Oregon : |b Hart Publishing, |c 2015. | |
| 300 | |a 1 online resource | ||
| 336 | |a text |b txt |2 rdacontent | ||
| 337 | |a computer |b c |2 rdamedia | ||
| 338 | |a online resource |b cr |2 rdacarrier | ||
| 504 | |a Includes bibliographical references (pages 300-324) and index. | ||
| 588 | 0 | |a Online resource; title from PDF title page (EBSCO, viewed September 25, 2015). | |
| 505 | 0 | |a Cover -- Half-title -- Title -- Copyright -- Acknowledgements -- Contents -- Table of Cases -- Table of Legislation -- Part I: The Elements of Internal Control in Banks and Financial Institutions -- 1. The Role of Internal Control in the Meta-Regulation of Financial Institutions -- A. Introduction to Internal Control | |
| 505 | 8 | |a Evolution of the Role of Internal Control Broadly Understood B. The Meta-Regulation of Internal Control and the Rise in Meta-Regulation in Financial Regulation Generally -- The Rise of Flexible and Alternative Models of Regulation | |
| 505 | 8 | |a Flexible and Alternative Regulatory Strategies in Financial Regulation The Importance of Meta-Regulation in Financial Regulation -- Meta-Regulation and its Limitations -- Excessive Proceduralisation | |
| 505 | 8 | |a C. Three Paradigms in the Regulatory Framework for Internal Control in Banks and Financial Institutions D. Structure of the Book -- 2. The Role of Compliance -- A. The Compliance Function: A Profile Sketch -- The Job Scope of the Compliance Function | |
| 505 | 8 | |a The Qualifications of Compliance Officers The Organisational Positioning of the Compliance Function -- Accountability Channels of the Compliance Function -- B. Disjunctions Between the Performance of the Compliance Function and Regulatory Expectations in Securing Firms? Compliance: Analysing the Organisational Dimension -- Distinct Department or Fused with General Counsel? -- Centralisation or Decentralisation? | |
| 520 | |a "This book examines a key aspect of the post-financial crisis reform package in the EU and UK-the ratcheting up of internal control in banks and financial institutions. The legal framework for internal controls is an important part of prudential regulation, and internal control also constitutes a form of internal gatekeeping for financial firms so that compliance with laws and regulations can be secured. This book argues that the legal framework for internal control, which is a form of meta-regulation, is susceptible to weaknesses, and such weaknesses are critically examined by adopting an interdisciplinary approach. The book discusses whether post-crisis reforms adequately address the weaknesses in regulating internal control and proposes an alternative strategy to enhance the 'governance' effectiveness of internal control."--Bloomsbury Publishing | ||
| 650 | 0 | |a Bank examination. |0 http://id.loc.gov/authorities/subjects/sh85011568 | |
| 650 | 0 | |a Auditing, Internal. |0 http://id.loc.gov/authorities/subjects/sh85009482 | |
| 650 | 0 | |a Financial institutions |x Risk management. | |
| 650 | 0 | |a Banks and banking |x Risk management. | |
| 650 | 6 | |a Banques |x Audit. | |
| 650 | 6 | |a Vérification interne. | |
| 650 | 6 | |a Institutions financières |x Gestion du risque. | |
| 650 | 7 | |a Banking law. |2 bicssc | |
| 650 | 7 | |a BUSINESS & ECONOMICS |x Accounting |x Financial. |2 bisacsh | |
| 650 | 7 | |a Auditing, Internal |2 fast | |
| 650 | 7 | |a Bank examination |2 fast | |
| 650 | 7 | |a Banques |x Droit. |2 ram | |
| 655 | 4 | |a Electronic book. | |
| 758 | |i has work: |a Regulating (from) the inside (Text) |1 https://id.oclc.org/worldcat/entity/E39PCGqwFkqDcHVVwxb6fvRCw3 |4 https://id.oclc.org/worldcat/ontology/hasWork | ||
| 776 | 0 | 8 | |i Print version: |a Chiu, Iris H.-Y. |t Regulating (from) the inside. |d Oxford ; Portland, Oregon : Hart Publishing, 2015 |z 1849465258 |z 9781849465250 |w (OCoLC)902021472 |
| 856 | 4 | 0 | |l FWS01 |p ZDB-4-EBU |q FWS_PDA_EBU |u https://search.ebscohost.com/login.aspx?direct=true&scope=site&db=nlebk&AN=1070580 |3 Volltext |
| 938 | |a Bloomsbury Publishing |b BLOO |n bpp09259696 | ||
| 938 | |a Coutts Information Services |b COUT |n 31773673 | ||
| 938 | |a EBL - Ebook Library |b EBLB |n EBL4000399 | ||
| 938 | |a EBSCOhost |b EBSC |n 1070580 | ||
| 938 | |a ProQuest MyiLibrary Digital eBook Collection |b IDEB |n cis31773673 | ||
| 938 | |a YBP Library Services |b YANK |n 16732140 | ||
| 938 | |a YBP Library Services |b YANK |n 12617122 | ||
| 994 | |a 92 |b GEBAY | ||
| 912 | |a ZDB-4-EBU | ||
| 049 | |a DE-863 | ||
Datensatz im Suchindex
| DE-BY-FWS_katkey | ZDB-4-EBU-ocn921986058 |
|---|---|
| _version_ | 1816796920013651968 |
| adam_text | |
| any_adam_object | |
| author | Chiu, Iris H.-Y |
| author_GND | http://id.loc.gov/authorities/names/n2009005162 |
| author_facet | Chiu, Iris H.-Y |
| author_role | aut |
| author_sort | Chiu, Iris H.-Y |
| author_variant | i h y c ihy ihyc |
| building | Verbundindex |
| bvnumber | localFWS |
| callnumber-first | H - Social Science |
| callnumber-label | HG1707 |
| callnumber-raw | HG1707.5 |
| callnumber-search | HG1707.5 |
| callnumber-sort | HG 41707.5 |
| callnumber-subject | HG - Finance |
| collection | ZDB-4-EBU |
| contents | Cover -- Half-title -- Title -- Copyright -- Acknowledgements -- Contents -- Table of Cases -- Table of Legislation -- Part I: The Elements of Internal Control in Banks and Financial Institutions -- 1. The Role of Internal Control in the Meta-Regulation of Financial Institutions -- A. Introduction to Internal Control Evolution of the Role of Internal Control Broadly Understood B. The Meta-Regulation of Internal Control and the Rise in Meta-Regulation in Financial Regulation Generally -- The Rise of Flexible and Alternative Models of Regulation Flexible and Alternative Regulatory Strategies in Financial Regulation The Importance of Meta-Regulation in Financial Regulation -- Meta-Regulation and its Limitations -- Excessive Proceduralisation C. Three Paradigms in the Regulatory Framework for Internal Control in Banks and Financial Institutions D. Structure of the Book -- 2. The Role of Compliance -- A. The Compliance Function: A Profile Sketch -- The Job Scope of the Compliance Function The Qualifications of Compliance Officers The Organisational Positioning of the Compliance Function -- Accountability Channels of the Compliance Function -- B. Disjunctions Between the Performance of the Compliance Function and Regulatory Expectations in Securing Firms? Compliance: Analysing the Organisational Dimension -- Distinct Department or Fused with General Counsel? -- Centralisation or Decentralisation? |
| ctrlnum | (OCoLC)921986058 |
| dewey-full | 657.8333045 |
| dewey-hundreds | 600 - Technology (Applied sciences) |
| dewey-ones | 657 - Accounting |
| dewey-raw | 657.8333045 |
| dewey-search | 657.8333045 |
| dewey-sort | 3657.8333045 |
| dewey-tens | 650 - Management and auxiliary services |
| discipline | Wirtschaftswissenschaften |
| format | Electronic eBook |
| fullrecord | <?xml version="1.0" encoding="UTF-8"?><collection xmlns="http://www.loc.gov/MARC21/slim"><record><leader>05632cam a2200781 i 4500</leader><controlfield tag="001">ZDB-4-EBU-ocn921986058</controlfield><controlfield tag="003">OCoLC</controlfield><controlfield tag="005">20241004212047.0</controlfield><controlfield tag="006">m o d </controlfield><controlfield tag="007">cr cnu|||unuuu</controlfield><controlfield tag="008">150924s2015 enk ob 001 0 eng d</controlfield><datafield tag="040" ind1=" " ind2=" "><subfield code="a">N$T</subfield><subfield code="b">eng</subfield><subfield code="e">rda</subfield><subfield code="e">pn</subfield><subfield code="c">N$T</subfield><subfield code="d">N$T</subfield><subfield code="d">IDEBK</subfield><subfield code="d">YDXCP</subfield><subfield code="d">CDX</subfield><subfield code="d">EBLCP</subfield><subfield code="d">DEBSZ</subfield><subfield code="d">IL4I4</subfield><subfield code="d">IDB</subfield><subfield code="d">UAB</subfield><subfield code="d">OCLCQ</subfield><subfield code="d">U3W</subfield><subfield code="d">OCLCF</subfield><subfield code="d">OCLCQ</subfield><subfield code="d">NLE</subfield><subfield code="d">OTZ</subfield><subfield code="d">UKMGB</subfield><subfield code="d">OCLCQ</subfield><subfield code="d">YDX</subfield><subfield code="d">BLOOM</subfield><subfield code="d">LUN</subfield><subfield code="d">BRF</subfield><subfield code="d">OCLCQ</subfield><subfield code="d">OCLCO</subfield><subfield code="d">K6U</subfield><subfield code="d">OCLCQ</subfield><subfield code="d">OCLCO</subfield><subfield code="d">OCLCL</subfield><subfield code="d">SXB</subfield></datafield><datafield tag="015" ind1=" " ind2=" "><subfield code="a">GBB741981</subfield><subfield code="2">bnb</subfield></datafield><datafield tag="016" ind1="7" ind2=" "><subfield code="a">017974962</subfield><subfield code="2">Uk</subfield></datafield><datafield tag="019" ind1=" " ind2=" "><subfield code="a">922451979</subfield><subfield code="a">926445740</subfield><subfield code="a">927488260</subfield><subfield code="a">1167626056</subfield></datafield><datafield tag="020" ind1=" " ind2=" "><subfield code="a">9781509901388</subfield><subfield code="q">(electronic bk.)</subfield></datafield><datafield tag="020" ind1=" " ind2=" "><subfield code="a">1509901388</subfield><subfield code="q">(electronic bk.)</subfield></datafield><datafield tag="020" ind1=" " ind2=" "><subfield code="a">9781509901395</subfield></datafield><datafield tag="020" ind1=" " ind2=" "><subfield code="a">1509901396</subfield></datafield><datafield tag="020" ind1=" " ind2=" "><subfield code="a">9781782257691</subfield><subfield code="q">(online)</subfield></datafield><datafield tag="020" ind1=" " ind2=" "><subfield code="a">1782257691</subfield></datafield><datafield tag="020" ind1=" " ind2=" "><subfield code="z">9781849465250</subfield></datafield><datafield tag="020" ind1=" " ind2=" "><subfield code="z">1849465258</subfield></datafield><datafield tag="035" ind1=" " ind2=" "><subfield code="a">(OCoLC)921986058</subfield><subfield code="z">(OCoLC)922451979</subfield><subfield code="z">(OCoLC)926445740</subfield><subfield code="z">(OCoLC)927488260</subfield><subfield code="z">(OCoLC)1167626056</subfield></datafield><datafield tag="037" ind1=" " ind2=" "><subfield code="a">9781509901395</subfield><subfield code="b">CodeMantra</subfield></datafield><datafield tag="050" ind1=" " ind2="4"><subfield code="a">HG1707.5</subfield></datafield><datafield tag="072" ind1=" " ind2="7"><subfield code="a">BUS</subfield><subfield code="x">001010</subfield><subfield code="2">bisacsh</subfield></datafield><datafield tag="082" ind1="7" ind2=" "><subfield code="a">657.8333045</subfield><subfield code="2">23</subfield></datafield><datafield tag="049" ind1=" " ind2=" "><subfield code="a">MAIN</subfield></datafield><datafield tag="100" ind1="1" ind2=" "><subfield code="a">Chiu, Iris H.-Y.,</subfield><subfield code="e">author.</subfield><subfield code="0">http://id.loc.gov/authorities/names/n2009005162</subfield></datafield><datafield tag="245" ind1="1" ind2="0"><subfield code="a">Regulating (from) the inside :</subfield><subfield code="b">the legal framework for internal control in banks and financial institutions /</subfield><subfield code="c">Iris H-Y Chiu.</subfield></datafield><datafield tag="264" ind1=" " ind2="1"><subfield code="a">Oxford ;</subfield><subfield code="a">Portland, Oregon :</subfield><subfield code="b">Hart Publishing,</subfield><subfield code="c">2015.</subfield></datafield><datafield tag="300" ind1=" " ind2=" "><subfield code="a">1 online resource</subfield></datafield><datafield tag="336" ind1=" " ind2=" "><subfield code="a">text</subfield><subfield code="b">txt</subfield><subfield code="2">rdacontent</subfield></datafield><datafield tag="337" ind1=" " ind2=" "><subfield code="a">computer</subfield><subfield code="b">c</subfield><subfield code="2">rdamedia</subfield></datafield><datafield tag="338" ind1=" " ind2=" "><subfield code="a">online resource</subfield><subfield code="b">cr</subfield><subfield code="2">rdacarrier</subfield></datafield><datafield tag="504" ind1=" " ind2=" "><subfield code="a">Includes bibliographical references (pages 300-324) and index.</subfield></datafield><datafield tag="588" ind1="0" ind2=" "><subfield code="a">Online resource; title from PDF title page (EBSCO, viewed September 25, 2015).</subfield></datafield><datafield tag="505" ind1="0" ind2=" "><subfield code="a">Cover -- Half-title -- Title -- Copyright -- Acknowledgements -- Contents -- Table of Cases -- Table of Legislation -- Part I: The Elements of Internal Control in Banks and Financial Institutions -- 1. The Role of Internal Control in the Meta-Regulation of Financial Institutions -- A. Introduction to Internal Control</subfield></datafield><datafield tag="505" ind1="8" ind2=" "><subfield code="a">Evolution of the Role of Internal Control Broadly Understood B. The Meta-Regulation of Internal Control and the Rise in Meta-Regulation in Financial Regulation Generally -- The Rise of Flexible and Alternative Models of Regulation</subfield></datafield><datafield tag="505" ind1="8" ind2=" "><subfield code="a">Flexible and Alternative Regulatory Strategies in Financial Regulation The Importance of Meta-Regulation in Financial Regulation -- Meta-Regulation and its Limitations -- Excessive Proceduralisation</subfield></datafield><datafield tag="505" ind1="8" ind2=" "><subfield code="a">C. Three Paradigms in the Regulatory Framework for Internal Control in Banks and Financial Institutions D. Structure of the Book -- 2. The Role of Compliance -- A. The Compliance Function: A Profile Sketch -- The Job Scope of the Compliance Function</subfield></datafield><datafield tag="505" ind1="8" ind2=" "><subfield code="a">The Qualifications of Compliance Officers The Organisational Positioning of the Compliance Function -- Accountability Channels of the Compliance Function -- B. Disjunctions Between the Performance of the Compliance Function and Regulatory Expectations in Securing Firms? Compliance: Analysing the Organisational Dimension -- Distinct Department or Fused with General Counsel? -- Centralisation or Decentralisation?</subfield></datafield><datafield tag="520" ind1=" " ind2=" "><subfield code="a">"This book examines a key aspect of the post-financial crisis reform package in the EU and UK-the ratcheting up of internal control in banks and financial institutions. The legal framework for internal controls is an important part of prudential regulation, and internal control also constitutes a form of internal gatekeeping for financial firms so that compliance with laws and regulations can be secured. This book argues that the legal framework for internal control, which is a form of meta-regulation, is susceptible to weaknesses, and such weaknesses are critically examined by adopting an interdisciplinary approach. The book discusses whether post-crisis reforms adequately address the weaknesses in regulating internal control and proposes an alternative strategy to enhance the 'governance' effectiveness of internal control."--Bloomsbury Publishing</subfield></datafield><datafield tag="650" ind1=" " ind2="0"><subfield code="a">Bank examination.</subfield><subfield code="0">http://id.loc.gov/authorities/subjects/sh85011568</subfield></datafield><datafield tag="650" ind1=" " ind2="0"><subfield code="a">Auditing, Internal.</subfield><subfield code="0">http://id.loc.gov/authorities/subjects/sh85009482</subfield></datafield><datafield tag="650" ind1=" " ind2="0"><subfield code="a">Financial institutions</subfield><subfield code="x">Risk management.</subfield></datafield><datafield tag="650" ind1=" " ind2="0"><subfield code="a">Banks and banking</subfield><subfield code="x">Risk management.</subfield></datafield><datafield tag="650" ind1=" " ind2="6"><subfield code="a">Banques</subfield><subfield code="x">Audit.</subfield></datafield><datafield tag="650" ind1=" " ind2="6"><subfield code="a">Vérification interne.</subfield></datafield><datafield tag="650" ind1=" " ind2="6"><subfield code="a">Institutions financières</subfield><subfield code="x">Gestion du risque.</subfield></datafield><datafield tag="650" ind1=" " ind2="7"><subfield code="a">Banking law.</subfield><subfield code="2">bicssc</subfield></datafield><datafield tag="650" ind1=" " ind2="7"><subfield code="a">BUSINESS & ECONOMICS</subfield><subfield code="x">Accounting</subfield><subfield code="x">Financial.</subfield><subfield code="2">bisacsh</subfield></datafield><datafield tag="650" ind1=" " ind2="7"><subfield code="a">Auditing, Internal</subfield><subfield code="2">fast</subfield></datafield><datafield tag="650" ind1=" " ind2="7"><subfield code="a">Bank examination</subfield><subfield code="2">fast</subfield></datafield><datafield tag="650" ind1=" " ind2="7"><subfield code="a">Banques</subfield><subfield code="x">Droit.</subfield><subfield code="2">ram</subfield></datafield><datafield tag="655" ind1=" " ind2="4"><subfield code="a">Electronic book.</subfield></datafield><datafield tag="758" ind1=" " ind2=" "><subfield code="i">has work:</subfield><subfield code="a">Regulating (from) the inside (Text)</subfield><subfield code="1">https://id.oclc.org/worldcat/entity/E39PCGqwFkqDcHVVwxb6fvRCw3</subfield><subfield code="4">https://id.oclc.org/worldcat/ontology/hasWork</subfield></datafield><datafield tag="776" ind1="0" ind2="8"><subfield code="i">Print version:</subfield><subfield code="a">Chiu, Iris H.-Y.</subfield><subfield code="t">Regulating (from) the inside.</subfield><subfield code="d">Oxford ; Portland, Oregon : Hart Publishing, 2015</subfield><subfield code="z">1849465258</subfield><subfield code="z">9781849465250</subfield><subfield code="w">(OCoLC)902021472</subfield></datafield><datafield tag="856" ind1="4" ind2="0"><subfield code="l">FWS01</subfield><subfield code="p">ZDB-4-EBU</subfield><subfield code="q">FWS_PDA_EBU</subfield><subfield code="u">https://search.ebscohost.com/login.aspx?direct=true&scope=site&db=nlebk&AN=1070580</subfield><subfield code="3">Volltext</subfield></datafield><datafield tag="938" ind1=" " ind2=" "><subfield code="a">Bloomsbury Publishing</subfield><subfield code="b">BLOO</subfield><subfield code="n">bpp09259696</subfield></datafield><datafield tag="938" ind1=" " ind2=" "><subfield code="a">Coutts Information Services</subfield><subfield code="b">COUT</subfield><subfield code="n">31773673</subfield></datafield><datafield tag="938" ind1=" " ind2=" "><subfield code="a">EBL - Ebook Library</subfield><subfield code="b">EBLB</subfield><subfield code="n">EBL4000399</subfield></datafield><datafield tag="938" ind1=" " ind2=" "><subfield code="a">EBSCOhost</subfield><subfield code="b">EBSC</subfield><subfield code="n">1070580</subfield></datafield><datafield tag="938" ind1=" " ind2=" "><subfield code="a">ProQuest MyiLibrary Digital eBook Collection</subfield><subfield code="b">IDEB</subfield><subfield code="n">cis31773673</subfield></datafield><datafield tag="938" ind1=" " ind2=" "><subfield code="a">YBP Library Services</subfield><subfield code="b">YANK</subfield><subfield code="n">16732140</subfield></datafield><datafield tag="938" ind1=" " ind2=" "><subfield code="a">YBP Library Services</subfield><subfield code="b">YANK</subfield><subfield code="n">12617122</subfield></datafield><datafield tag="994" ind1=" " ind2=" "><subfield code="a">92</subfield><subfield code="b">GEBAY</subfield></datafield><datafield tag="912" ind1=" " ind2=" "><subfield code="a">ZDB-4-EBU</subfield></datafield><datafield tag="049" ind1=" " ind2=" "><subfield code="a">DE-863</subfield></datafield></record></collection> |
| genre | Electronic book. |
| genre_facet | Electronic book. |
| id | ZDB-4-EBU-ocn921986058 |
| illustrated | Not Illustrated |
| indexdate | 2024-11-26T14:49:20Z |
| institution | BVB |
| isbn | 9781509901388 1509901388 9781509901395 1509901396 9781782257691 1782257691 |
| language | English |
| oclc_num | 921986058 |
| open_access_boolean | |
| owner | MAIN DE-863 DE-BY-FWS |
| owner_facet | MAIN DE-863 DE-BY-FWS |
| physical | 1 online resource |
| psigel | ZDB-4-EBU |
| publishDate | 2015 |
| publishDateSearch | 2015 |
| publishDateSort | 2015 |
| publisher | Hart Publishing, |
| record_format | marc |
| spelling | Chiu, Iris H.-Y., author. http://id.loc.gov/authorities/names/n2009005162 Regulating (from) the inside : the legal framework for internal control in banks and financial institutions / Iris H-Y Chiu. Oxford ; Portland, Oregon : Hart Publishing, 2015. 1 online resource text txt rdacontent computer c rdamedia online resource cr rdacarrier Includes bibliographical references (pages 300-324) and index. Online resource; title from PDF title page (EBSCO, viewed September 25, 2015). Cover -- Half-title -- Title -- Copyright -- Acknowledgements -- Contents -- Table of Cases -- Table of Legislation -- Part I: The Elements of Internal Control in Banks and Financial Institutions -- 1. The Role of Internal Control in the Meta-Regulation of Financial Institutions -- A. Introduction to Internal Control Evolution of the Role of Internal Control Broadly Understood B. The Meta-Regulation of Internal Control and the Rise in Meta-Regulation in Financial Regulation Generally -- The Rise of Flexible and Alternative Models of Regulation Flexible and Alternative Regulatory Strategies in Financial Regulation The Importance of Meta-Regulation in Financial Regulation -- Meta-Regulation and its Limitations -- Excessive Proceduralisation C. Three Paradigms in the Regulatory Framework for Internal Control in Banks and Financial Institutions D. Structure of the Book -- 2. The Role of Compliance -- A. The Compliance Function: A Profile Sketch -- The Job Scope of the Compliance Function The Qualifications of Compliance Officers The Organisational Positioning of the Compliance Function -- Accountability Channels of the Compliance Function -- B. Disjunctions Between the Performance of the Compliance Function and Regulatory Expectations in Securing Firms? Compliance: Analysing the Organisational Dimension -- Distinct Department or Fused with General Counsel? -- Centralisation or Decentralisation? "This book examines a key aspect of the post-financial crisis reform package in the EU and UK-the ratcheting up of internal control in banks and financial institutions. The legal framework for internal controls is an important part of prudential regulation, and internal control also constitutes a form of internal gatekeeping for financial firms so that compliance with laws and regulations can be secured. This book argues that the legal framework for internal control, which is a form of meta-regulation, is susceptible to weaknesses, and such weaknesses are critically examined by adopting an interdisciplinary approach. The book discusses whether post-crisis reforms adequately address the weaknesses in regulating internal control and proposes an alternative strategy to enhance the 'governance' effectiveness of internal control."--Bloomsbury Publishing Bank examination. http://id.loc.gov/authorities/subjects/sh85011568 Auditing, Internal. http://id.loc.gov/authorities/subjects/sh85009482 Financial institutions Risk management. Banks and banking Risk management. Banques Audit. Vérification interne. Institutions financières Gestion du risque. Banking law. bicssc BUSINESS & ECONOMICS Accounting Financial. bisacsh Auditing, Internal fast Bank examination fast Banques Droit. ram Electronic book. has work: Regulating (from) the inside (Text) https://id.oclc.org/worldcat/entity/E39PCGqwFkqDcHVVwxb6fvRCw3 https://id.oclc.org/worldcat/ontology/hasWork Print version: Chiu, Iris H.-Y. Regulating (from) the inside. Oxford ; Portland, Oregon : Hart Publishing, 2015 1849465258 9781849465250 (OCoLC)902021472 FWS01 ZDB-4-EBU FWS_PDA_EBU https://search.ebscohost.com/login.aspx?direct=true&scope=site&db=nlebk&AN=1070580 Volltext |
| spellingShingle | Chiu, Iris H.-Y Regulating (from) the inside : the legal framework for internal control in banks and financial institutions / Cover -- Half-title -- Title -- Copyright -- Acknowledgements -- Contents -- Table of Cases -- Table of Legislation -- Part I: The Elements of Internal Control in Banks and Financial Institutions -- 1. The Role of Internal Control in the Meta-Regulation of Financial Institutions -- A. Introduction to Internal Control Evolution of the Role of Internal Control Broadly Understood B. The Meta-Regulation of Internal Control and the Rise in Meta-Regulation in Financial Regulation Generally -- The Rise of Flexible and Alternative Models of Regulation Flexible and Alternative Regulatory Strategies in Financial Regulation The Importance of Meta-Regulation in Financial Regulation -- Meta-Regulation and its Limitations -- Excessive Proceduralisation C. Three Paradigms in the Regulatory Framework for Internal Control in Banks and Financial Institutions D. Structure of the Book -- 2. The Role of Compliance -- A. The Compliance Function: A Profile Sketch -- The Job Scope of the Compliance Function The Qualifications of Compliance Officers The Organisational Positioning of the Compliance Function -- Accountability Channels of the Compliance Function -- B. Disjunctions Between the Performance of the Compliance Function and Regulatory Expectations in Securing Firms? Compliance: Analysing the Organisational Dimension -- Distinct Department or Fused with General Counsel? -- Centralisation or Decentralisation? Bank examination. http://id.loc.gov/authorities/subjects/sh85011568 Auditing, Internal. http://id.loc.gov/authorities/subjects/sh85009482 Financial institutions Risk management. Banks and banking Risk management. Banques Audit. Vérification interne. Institutions financières Gestion du risque. Banking law. bicssc BUSINESS & ECONOMICS Accounting Financial. bisacsh Auditing, Internal fast Bank examination fast Banques Droit. ram |
| subject_GND | http://id.loc.gov/authorities/subjects/sh85011568 http://id.loc.gov/authorities/subjects/sh85009482 |
| title | Regulating (from) the inside : the legal framework for internal control in banks and financial institutions / |
| title_auth | Regulating (from) the inside : the legal framework for internal control in banks and financial institutions / |
| title_exact_search | Regulating (from) the inside : the legal framework for internal control in banks and financial institutions / |
| title_full | Regulating (from) the inside : the legal framework for internal control in banks and financial institutions / Iris H-Y Chiu. |
| title_fullStr | Regulating (from) the inside : the legal framework for internal control in banks and financial institutions / Iris H-Y Chiu. |
| title_full_unstemmed | Regulating (from) the inside : the legal framework for internal control in banks and financial institutions / Iris H-Y Chiu. |
| title_short | Regulating (from) the inside : |
| title_sort | regulating from the inside the legal framework for internal control in banks and financial institutions |
| title_sub | the legal framework for internal control in banks and financial institutions / |
| topic | Bank examination. http://id.loc.gov/authorities/subjects/sh85011568 Auditing, Internal. http://id.loc.gov/authorities/subjects/sh85009482 Financial institutions Risk management. Banks and banking Risk management. Banques Audit. Vérification interne. Institutions financières Gestion du risque. Banking law. bicssc BUSINESS & ECONOMICS Accounting Financial. bisacsh Auditing, Internal fast Bank examination fast Banques Droit. ram |
| topic_facet | Bank examination. Auditing, Internal. Financial institutions Risk management. Banks and banking Risk management. Banques Audit. Vérification interne. Institutions financières Gestion du risque. Banking law. BUSINESS & ECONOMICS Accounting Financial. Auditing, Internal Bank examination Banques Droit. Electronic book. |
| url | https://search.ebscohost.com/login.aspx?direct=true&scope=site&db=nlebk&AN=1070580 |
| work_keys_str_mv | AT chiuirishy regulatingfromtheinsidethelegalframeworkforinternalcontrolinbanksandfinancialinstitutions |