Regulating (from) the Inside : (Record no. 100412)
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| fixed length control field | 08451nam a22005053i 4500 |
| 001 - CONTROL NUMBER | |
| control field | EBC4000399 |
| 003 - CONTROL NUMBER IDENTIFIER | |
| control field | MiAaPQ |
| 005 - DATE AND TIME OF LATEST TRANSACTION | |
| control field | 20240729130013.0 |
| 006 - FIXED-LENGTH DATA ELEMENTS--ADDITIONAL MATERIAL CHARACTERISTICS | |
| fixed length control field | m o d | |
| 007 - PHYSICAL DESCRIPTION FIXED FIELD--GENERAL INFORMATION | |
| fixed length control field | cr cnu|||||||| |
| 008 - FIXED-LENGTH DATA ELEMENTS--GENERAL INFORMATION | |
| fixed length control field | 240724s2018 xx o ||||0 eng d |
| 020 ## - INTERNATIONAL STANDARD BOOK NUMBER | |
| International Standard Book Number | 9781509901388 |
| Qualifying information | (electronic bk.) |
| 020 ## - INTERNATIONAL STANDARD BOOK NUMBER | |
| Canceled/invalid ISBN | 9781849465250 |
| 035 ## - SYSTEM CONTROL NUMBER | |
| System control number | (MiAaPQ)EBC4000399 |
| 035 ## - SYSTEM CONTROL NUMBER | |
| System control number | (Au-PeEL)EBL4000399 |
| 035 ## - SYSTEM CONTROL NUMBER | |
| System control number | (CaPaEBR)ebr11095801 |
| 035 ## - SYSTEM CONTROL NUMBER | |
| System control number | (CaONFJC)MIL832402 |
| 035 ## - SYSTEM CONTROL NUMBER | |
| System control number | (OCoLC)927488260 |
| 040 ## - CATALOGING SOURCE | |
| Original cataloging agency | MiAaPQ |
| Language of cataloging | eng |
| Description conventions | rda |
| -- | pn |
| Transcribing agency | MiAaPQ |
| Modifying agency | MiAaPQ |
| 050 #4 - LIBRARY OF CONGRESS CALL NUMBER | |
| Classification number | HG1707.5 -- .C458 2015eb |
| 082 0# - DEWEY DECIMAL CLASSIFICATION NUMBER | |
| Classification number | 346.082 |
| 100 1# - MAIN ENTRY--PERSONAL NAME | |
| Personal name | Chiu, Iris H-Y. |
| 245 10 - TITLE STATEMENT | |
| Title | Regulating (from) the Inside : |
| Remainder of title | The Legal Framework for Internal Control in Banks and Financial Institutions. |
| 250 ## - EDITION STATEMENT | |
| Edition statement | 1st ed. |
| 264 #1 - PRODUCTION, PUBLICATION, DISTRIBUTION, MANUFACTURE, AND COPYRIGHT NOTICE | |
| Place of production, publication, distribution, manufacture | London : |
| Name of producer, publisher, distributor, manufacturer | Bloomsbury Publishing Plc, |
| Date of production, publication, distribution, manufacture, or copyright notice | 2018. |
| 264 #4 - PRODUCTION, PUBLICATION, DISTRIBUTION, MANUFACTURE, AND COPYRIGHT NOTICE | |
| Date of production, publication, distribution, manufacture, or copyright notice | ©2015. |
| 300 ## - PHYSICAL DESCRIPTION | |
| Extent | 1 online resource (358 pages) |
| 336 ## - CONTENT TYPE | |
| Content type term | text |
| Content type code | txt |
| Source | rdacontent |
| 337 ## - MEDIA TYPE | |
| Media type term | computer |
| Media type code | c |
| Source | rdamedia |
| 338 ## - CARRIER TYPE | |
| Carrier type term | online resource |
| Carrier type code | cr |
| Source | rdacarrier |
| 505 0# - FORMATTED CONTENTS NOTE | |
| Formatted contents note | 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? -- Risk-Based Approach to Compliance -- Reporting Channels and Accountability -- Power -- C. Disjunctions Between Regulatory Expectations and the Role of the Compliance Function: Analysing the Professional Dimension -- Lack of Convergence in the Job Scope of the Compliance Function -- Excessive Proceduralisation in the Job Scope of the Compliance Function -- Expanding Remit and Work Overload. |
| 505 8# - FORMATTED CONTENTS NOTE | |
| Formatted contents note | Background Qualifications and Training of Compliance Officers -- The Role of Ethics in Enhancing the Professionalism of the Compliance Function -- Emerging Representative Professional Bodies -- D. Concluding Remarks -- 3. The Role of Risk Management -- A. The Development and Purposes of Risk Management -- B. Disjunctions Between Regulatory Expectations and the Role of the Risk Management Function: Analysing the Organisational Dimension -- The Constitution of the Specialist Risk Management Function -- The Independence of the Specialist Risk Management Function -- The Power and Responsibilities of the Specialist Risk Management Function -- Resources for the Risk Management Function -- Risk Culture -- C. Disjunctions Between Regulatory Expectations and the Role of the Risk Management Function: Analysing the Organisational Dimension -- The Job Scope of Risk Management Functions -- The Professional Competence of the Risk Management Function and its Limitations -- A Professional Body for Risk Management -- D. Conclusion -- 4. The Role of Internal Audit -- A. Sketching the Profile of Internal Audit -- B. Disjunctions Between Regulatory Expectations and the Role of the Internal Audit Function: Analysing the Organisational Dimension -- Independence of the Internal Audit Function -- Positioning and Power of the Internal Audit Function -- Wider Contextual Factors -- C. Disjunctions Between Regulatory Expectations and the Role of the Internal Audit Function: Analysing the Professional Dimension -- Development of Internal Audit in Financial Assurance -- The Role of Internal Audit in Relation to Micro-Prudential Regulation -- Expanding Remit of Internal Audit's Role and Implications -- Professional Competencies -- The Role of Internal Audit as Management Consultant -- Professional Ethics and Ethical Assurance? -- D. Conclusion. |
| 505 8# - FORMATTED CONTENTS NOTE | |
| Formatted contents note | 5. The Contextual Frameworks of Corporate Governance and Organisational Culture -- A. Internal Control as Situated Within the Frameworks of Corporate Governance and Organisational Culture -- B. The Salience of Corporate Governance at Banks and Financial Institutions -- Aspects of Corporate Governance Relevant to Risk-Taking, Monitoring and Control -- Aspects of Conventional Best Practices in Corporate Governance that may be Unsuitable for Banks and Financial Institutions -- C. Organisational Culture as the Context for Risk and Control -- Modern Banking Culture as a Sectoral Phenomenon -- Organisational Cultures at Banks and Financial Institutions -- D. Conclusion -- Part II: Making Internal Control Effective in Banks and Financial Institutions -- 6. Regulating Aspects of Corporate Governance and Organisational Culture as a Broader Framework for Internal Control -- A. Regulating the Boards of Banks and Financial Institutions: Structural Aspects in Corporate Governance -- The Functions of the Board -- The Responsibilities of Executive Directors, in Particular the Chairman -- The Special Role of Non-Executive Directors -- Regulating Board Composition -- B. Shareholders' Role -- The UK Stewardship Code -- Practical Challenges and Ideological Weaknesses in the Notion of Stewardship -- C. The Regulation and Approval of Individuals in Banks and Financial Institutions: The UK Regime -- Personal Responsibility and Liability -- Liability Under APER -- Enhanced Senior Persons Liability Under Senior Persons Regime -- D. Reforming Banking Culture -- Remuneration Reforms -- Malus or Clawback -- Banking Ethics -- E. Structural Reforms and their Impact Upon Banking Culture -- F. Conclusion -- 7. Incentive-Based Approaches to Improve Internal Control Efficacy: Enforcement and Whistle-Blowing. |
| 505 8# - FORMATTED CONTENTS NOTE | |
| Formatted contents note | A. Regulatory Regime for Internal Control Personnel: Code of Conduct Rules -- B. Key Enforcement Actions Against Internal Control Individuals in the UK -- Compliance Officer Liability in Breach of the Principle to Exercise Due Skill, Care and Diligence -- Final Notice Against Dr Sandradee Joseph (18 November 2011) -- Final Notice Against Alexander Edward Ten-Holter (26 January 2012) -- Final Notice Against John Douglas Leslie (26 July 2013) -- Censure of Stephen Morse, Barclays Plc (27 June 2012) -- Compliance Officer Liability Based on Other Grounds in APER -- Enforcement Against Robert Stephan Addison (14 September 2012) -- C. Imposing Personal Liability on Internal Control Personnel -- D. Secondary Liability Regimes for Internal Control Functions -- E. Internal Control Functions and the Whistle-Blowing Regime -- F. Conclusion -- 8. The Need for Enhanced Professionalism for Internal Control Functions -- A. Internal Control Functions as 'Gatekeepers' -- B. Enhancing Professionalism -- C. Liability Regimes -- D. Conclusion -- 9. Concluding Remarks -- Bibliography -- Index. |
| 588 ## - SOURCE OF DESCRIPTION NOTE | |
| Source of description note | Description based on publisher supplied metadata and other sources. |
| 590 ## - LOCAL NOTE (RLIN) | |
| Local note | Electronic reproduction. Ann Arbor, Michigan : ProQuest Ebook Central, 2024. Available via World Wide Web. Access may be limited to ProQuest Ebook Central affiliated libraries. |
| 650 #0 - SUBJECT ADDED ENTRY--TOPICAL TERM | |
| Topical term or geographic name entry element | Bank examination. |
| 650 #0 - SUBJECT ADDED ENTRY--TOPICAL TERM | |
| Topical term or geographic name entry element | Auditing, Internal. |
| 650 #0 - SUBJECT ADDED ENTRY--TOPICAL TERM | |
| Topical term or geographic name entry element | Financial institutions -- Risk management. |
| 650 #0 - SUBJECT ADDED ENTRY--TOPICAL TERM | |
| Topical term or geographic name entry element | Banks and banking -- Risk management. |
| 655 #4 - INDEX TERM--GENRE/FORM | |
| Genre/form data or focus term | Electronic books. |
| 776 08 - ADDITIONAL PHYSICAL FORM ENTRY | |
| Relationship information | Print version: |
| Main entry heading | Chiu, Iris H-Y |
| Title | Regulating (from) the Inside |
| Place, publisher, and date of publication | London : Bloomsbury Publishing Plc,c2018 |
| International Standard Book Number | 9781849465250 |
| 797 2# - LOCAL ADDED ENTRY--CORPORATE NAME (RLIN) | |
| Corporate name or jurisdiction name as entry element | ProQuest (Firm) |
| 856 40 - ELECTRONIC LOCATION AND ACCESS | |
| Uniform Resource Identifier | <a href="https://ebookcentral.proquest.com/lib/orpp/detail.action?docID=4000399">https://ebookcentral.proquest.com/lib/orpp/detail.action?docID=4000399</a> |
| Public note | Click to View |
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