Compliance norms in financial institutions : measures, case studies and best practices / Tomasz Braun.
Braun, Tomasz, author.
2019
HG173
Available Online

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Title Compliance norms in financial institutions : measures, case studies and best practices / Tomasz Braun.
Author Braun, Tomasz, author.
ISBN 9783030249663 (electronic book)
3030249662 (electronic book)
9783030249656
DOI https://doi.org/10.1007/978-3-030-24966-3
Published Cham, Switzerland : Palgrave Macmillan, [2019]
Language English
Description 1 online resource (vii, 356 pages)
Other Standard Identifiers 10.1007/978-3-030-24966-3 doi
Call Number HG173
Dewey Decimal Classification 332.1
Summary Initially, introducing compliance functions within the financial industry had been forced by regulatory scrutiny. Later, it started to spread to other regulated companies, in particular those publicly listed. Now, compliance has become an asset of corporates that want to build their reliability among clients, shareholders, employees and business partners. This book looks at the efficiency of the compliance measures introduced and the best practices of building compliance norms. This recently observed practice of compliance was triggered by the expectation of regulators, shareholders, clients, business partners and the public for robust compliance mechanisms. This book looks at the vast interest in this topic among business people who strive to introduce the systems and the mechanisms of non-compliance risk management in their companies and at the uncountable difficulties and obstacles they meet. The book fills the gap of thorough analysis of this subject by pointing out the solutions successfully introduced in global financial organizations, and would be of interest to academics, researchers and practitioners in corporate finance, corporate governance and risk management. Tomasz Braun graduated with his PhD from the Faculty of Law and Administration of Lazarski University, Poland. Since then, he has been a lecturer for courses in corporate law for the same institution. His research areas include banking, finance, M&As and restructuring. Dr. Braun's professional background also includes consulting in cross-border transactions, post-acquisition integration projects, implementing restructuring programmes and dispute resolutions, as a general counsel in global financial institutions and as a partner in international law firms.
Bibliography, etc. Note Includes bibliographical references and index.
Access Note Access limited to authorized users.
Source of Description Online resource; title from PDF title page (SpringerLink, viewed October 31, 2019).
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Chapter 1. Introduction.- Chapter 2. Compliance Norms and Legal Coherence.- Chapter 3. Compliance in Financial Institutions
Tasks, Functions and Structure.- Chapter 4. The Scope Compliance Norms in Financial Institutions.- Chapter 5. The Impact of Cultural Differences on Compliance Norms.- Chapter 6. Organizing Postulates
A Proposal for A Model Approach.

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