Financial Compliance Issues Concerns and Future Directions 1st

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Product details:

• ISBN 10: 3030145115
• ISBN 13: 9783030145118 
• Author: Maria Krambia-Kapardis

This book explores the fundamental elements and risks that impact the compliance officer’s work. Following a comprehensive understanding of the role of a compliance officer, by engaging with themes of compliance officers’ liability, expectations, risks and effectiveness, it provides practical answers by leading academics and practitioners in the field. This work also draws on how other areas, such as GDPR, financial regulation and whistleblowing, challenges on compliance officers and provides a way forward to convert these challenges into opportunities. The discussion of compliance challenges and practices in Australia, Europe and the United States provides critical insights into the development of compliance in today’s financial environment. Financial Compliance: Issues, Concerns and Future Directions provides an invaluable working resource for academics, practitioners and a general audience interested in understanding and developing an effective compliance culture.

Table contents:

Part 1. Understanding Compliance with Laws and Regulations: A Mechanism-Based Approach

Part 2. Legitimacy and Regulatory Compliance

Part 3. The Uncertain Professional Status of Compliance

Part 4. Compliance: From Soft Law to Hard Law—A View from France

Part 5. Living with the New General Data Protection Regulation (GDPR)

Part 6. Risk-Based Financial Regulation and Compliance Officer Liability

Part 7. Whistleblowing: The Neglected Facilitator of Compliance

Part 8. The Skillset of an Effective Compliance Officer

Part 9. Disentangling the Expectation Gap for Compliance Officers

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