Conduct and Accountability in Financial Services: A Practical Guide - Couverture souple

English, Stacey; Hammond, Susannah

Couverture souple

ISBN 10 : 1526505207 ISBN 13 : 9781526505200

Editeur : Bloomsbury Professional, 2018

Synopsis

Conduct and Accountability in Financial Services: A Practical Guide is an accessible guide to not only the rule book requirements but also the spirit of the rules and the more subjective requirements, and the implications of the global focus on culture and conduct risk.

A propos du livre

À propos des auteurs

Stacey English has over 25 years' regulatory risk, compliance and audit experience within the financial services as a regulator, practitioner and adviser, giving her an extensive and unique view of conduct in the industry.

Stacey began her regulatory career with the UK regulator, now the FCA, where she led supervisory inspections and mis-selling investigations within banks and insurers and developed new rules and guidance for the financial services industry. She also spent two years as an internal auditor inspecting the conduct of the UK regulator itself. As an industry practitioner she specialised in risk management predominantly within the insurance sector, developing and embedding enterprise-wide risk management at Aviva and Lloyd's of London, and as an adviser to start up Lloyd's managing agents. She joined Barclays as head of governance, reporting and intelligence shortly before the global financial crisis unfolded.
As head of global regulatory intelligence for Thomson Reuters, Stacey was responsible for expert analysis of regulatory developments from global regulators and providing insight, industry thought leadership and benchmarking to tens of thousands of compliance, risk and regulatory professionals worldwide.
Stacey is now the Director of Regulatory Intelligence for Theta Lake, providing governance and compliance solutions for the digital unified communications central to that underpin the modern workplace. For the last five years she has been an Honorary Fellow of Cambridge Judge Business School providing expert guidance to the Cambridge Centre for Alternative Finance.
Stacey is a Chartered Certified accountant with the highest results worldwide; she has first class degrees in BSc (Hons) Applied Accounting and BA (Hons) Business Administration; and completed the Oxford Artificial Intelligence Programme through Saïd Business School. She also holds the Chartered Insurance Institute's Certificate in Financial Planning and is a Member of the Chartered Institute of Securities and Investments, the Personal Finance Society and the Chartered Insurance Institute.

https://www.linkedin.com/in/stenglish/; @regexperts

Susannah Hammond has over 30 years' wide-ranging experience in international and UK financial services.
A chartered accountant and chartered fellow of the Chartered Institute for Securities and Investment, Susannah began her compliance career at SG Warburg where she became head of European compliance. She was the global head of compliance and a founding employee of Caspian Securities before joining PricewaterhouseCoopers as a consultant. Susannah was also head of international regulatory risk for the Halifax Group and became head of retail regulatory risk for HBOS plc upon Halifax's merger with Bank of Scotland. Before joining Thomson Reuters, she was head of compliance at GE Capital Bank.
In her role as senior regulatory intelligence expert, Susannah shared her extensive experience with Thomson Reuters Regulatory Intelligence customers writing some of the most-read articles on the site. She was co-author of a series of special survey reports which have been downloaded by tens of thousands of firms, regulators, lawyers and consultancies around the world. Susannah was the founder and inaugural host of the Compliance Clarified podcast and regularly attracts large audiences at events and webinars and is a much sought after speaker and commentator on financial services regulation.
Susannah is now senior regulatory intelligence expert at CUBE, a leading provider of regulatory intelligence solutions.
Well known and highly respected throughout the industry, Susannah brings a deep understanding of the unique challenges facing today's senior managers in financial services and the need for clarity on their risk management and compliance obligations in order to identify, manage and mitigate the daily challenges faced.
https://www.linkedin.com/in/susannahhammond/

Détails de l'édition

• Éditeur: Bloomsbury Professional
• Date d'édition: 2018
• Langue: anglais
• ISBN 10: 1526505207
• ISBN 13: 9781526505200
• Reliure: Broché
• Nombre de pages: 360
• Coordonnées du fabricant: non disponible
• Personne responsable: WordUnited GmbH; distribution@wordunited.com; ; Theodorstrasse 105; DUSSELDORF; 40472; Allemagne