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Vol 21 No 11 Nov/Dec 2016

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The Regulating (from) the Inside: The Legal Framework for Internal Controls in Banks and Financial Institutions


ISBN13: 9781849465250
Published: October 2015
Publisher: Hart Publishing
Country of Publication: UK
Format: Hardback
Price: £58.00



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This book examines a key aspect of the post-financial crisis reform package in the EU and UK – the ratcheting up of internal control in banks and financial institutions.

The legal framework for internal controls is an important part of prudential regulation, and internal control also constitutes a form of internal gate-keeping for financial firms so that compliance with laws and regulations can be secured.

This book argues that the legal framework for internal control, which is a form of meta-regulation, is susceptible to weaknesses, and such weaknesses are critically examined by adopting an interdisciplinary approach. The book discusses whether post-crisis reforms adequately address the weaknesses in regulating internal control and proposes an alternative strategy to enhance the ‘governance’ effectiveness of internal control.

Subjects:
Banking and Finance
Contents:
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
2. The Role of Compliance
3. The Role of Risk Management
4. The Role of Internal Audit
5. The Contextual Frameworks of Corporate Governance

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
7. Incentive-Based Approaches to Improve Internal Control Efficacy: Enforcement and Whistle-Blowing
8. The Need for Enhanced Professionalism for Internal Control Functions
9. Concluding Remarks