Bank Regulation, Risk Management, and Compliance
Bank Regulation, Risk Management, and Compliance is a concise yet comprehensive treatment of the primary areas of US banking regulation – micro-prudential, macroprudential, financial consumer protection, and AML/CFT regulation – and their associated risk management and compliance systems. The book’s...
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| 主要作者: | |
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| 格式: | Online |
| 語言: | 英语 |
| 出版: |
Taylor & Francis
2021
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| 主題: | |
| 在線閱讀: | 1006803 |
| 標簽: |
沒有標簽, 成為第一個標記此記錄!
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| _version_ | 1869523078014304256 |
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| author | Dill, Alexander |
| author_browse | Dill, Alexander |
| author_facet | Dill, Alexander |
| author_sort | Dill, Alexander |
| collection | Directory of Open Access Books |
| description | Bank Regulation, Risk Management, and Compliance is a concise yet comprehensive treatment of the primary areas of US banking regulation – micro-prudential, macroprudential, financial consumer protection, and AML/CFT regulation – and their associated risk management and compliance systems. The book’s focus is the US, but its prolific use of standards published by the Basel Committee on Banking Supervision and frequent comparisons with UK and EU versions of US regulation offer a broad perspective on global bank regulation and expectations for internal governance.
The book establishes a conceptual framework that helps readers to understand bank regulators’ expectations for the risk management and compliance functions. Informed by the author’s experience at a major credit rating agency in helping to design and implement a ratings compliance system, it explains how the banking business model, through credit extension and credit intermediation, creates the principal risks that regulation is designed to mitigate: credit, interest rate, market, and operational risk, and, more broadly, systemic risk. The book covers, in a single volume, the four areas of bank regulation and supervision and the associated regulatory expectations and firms’ governance systems. Readers desiring to study the subject in a unified manner have needed to separately consult specialized treatments of their areas of interest, resulting in a fragmented grasp of the subject matter. Banking regulation has a cohesive unity due in large part to national authorities’ agreement to follow global standards and to the homogenizing effects of the integrated global financial markets.
The book is designed for legal, risk, and compliance banking professionals; students in law, business, and other finance-related graduate programs; and finance professionals generally who want a reference book on bank regulation, risk management, and compliance. It can serve both as a primer for entry-level finance professionals and as a reference guide for seasoned risk and compliance officials, senior management, and regulators and other policymakers. Although the book’s focus is bank regulation, its coverage of corporate governance, risk management, compliance, and management of conflicts of interest in financial institutions has broad application in other financial services sectors. |
| format | Online |
| id | doab-20.500.12854ir-31827 |
| institution | Directory of Open Access Books |
| language | eng |
| publishDate | 2021 |
| publishDateRange | 2021 |
| publishDateSort | 2021 |
| publisher | Taylor & Francis |
| publisherStr | Taylor & Francis |
| record_format | ojs |
| spelling | doab-20.500.12854ir-318272025-07-30T10:20:50Z Bank Regulation, Risk Management, and Compliance Dill, Alexander Bank regulation risk manangement thema EDItEUR::L Law::LA Jurisprudence and general issues thema EDItEUR::L Law::LA Jurisprudence and general issues Bank Regulation, Risk Management, and Compliance is a concise yet comprehensive treatment of the primary areas of US banking regulation – micro-prudential, macroprudential, financial consumer protection, and AML/CFT regulation – and their associated risk management and compliance systems. The book’s focus is the US, but its prolific use of standards published by the Basel Committee on Banking Supervision and frequent comparisons with UK and EU versions of US regulation offer a broad perspective on global bank regulation and expectations for internal governance. The book establishes a conceptual framework that helps readers to understand bank regulators’ expectations for the risk management and compliance functions. Informed by the author’s experience at a major credit rating agency in helping to design and implement a ratings compliance system, it explains how the banking business model, through credit extension and credit intermediation, creates the principal risks that regulation is designed to mitigate: credit, interest rate, market, and operational risk, and, more broadly, systemic risk. The book covers, in a single volume, the four areas of bank regulation and supervision and the associated regulatory expectations and firms’ governance systems. Readers desiring to study the subject in a unified manner have needed to separately consult specialized treatments of their areas of interest, resulting in a fragmented grasp of the subject matter. Banking regulation has a cohesive unity due in large part to national authorities’ agreement to follow global standards and to the homogenizing effects of the integrated global financial markets. The book is designed for legal, risk, and compliance banking professionals; students in law, business, and other finance-related graduate programs; and finance professionals generally who want a reference book on bank regulation, risk management, and compliance. It can serve both as a primer for entry-level finance professionals and as a reference guide for seasoned risk and compliance officials, senior management, and regulators and other policymakers. Although the book’s focus is bank regulation, its coverage of corporate governance, risk management, compliance, and management of conflicts of interest in financial institutions has broad application in other financial services sectors. 2021-02-10T13:53:49Z 2021-02-10T13:53:49Z 2020-01-28 09:37:53 2020-04-01T09:12:45Z 2019 book 1006803 OCN: 1121596820 http://library.oapen.org/handle/20.500.12657/23352 https://directory.doabooks.org/handle/20.500.12854/31827 eng Practical Finance and Banking Guides open access Taylor & Francis Routledge fa69b019-f4ee-4979-8d42-c6b6c476b5f0 Chapter 6 The Role of Corporate Governance in Macro-Prudential Regulation of Systemic Risk Routledge 340 open access |
| spellingShingle | Bank regulation risk manangement thema EDItEUR::L Law::LA Jurisprudence and general issues thema EDItEUR::L Law::LA Jurisprudence and general issues Dill, Alexander Bank Regulation, Risk Management, and Compliance |
| title | Bank Regulation, Risk Management, and Compliance |
| title_full | Bank Regulation, Risk Management, and Compliance |
| title_fullStr | Bank Regulation, Risk Management, and Compliance |
| title_full_unstemmed | Bank Regulation, Risk Management, and Compliance |
| title_short | Bank Regulation, Risk Management, and Compliance |
| title_sort | bank regulation risk management and compliance |
| topic | Bank regulation risk manangement thema EDItEUR::L Law::LA Jurisprudence and general issues thema EDItEUR::L Law::LA Jurisprudence and general issues |
| topic_facet | Bank regulation risk manangement thema EDItEUR::L Law::LA Jurisprudence and general issues thema EDItEUR::L Law::LA Jurisprudence and general issues |
| url | 1006803 |
| work_keys_str_mv | AT dillalexander bankregulationriskmanagementandcompliance |