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New Accountability in Financial Services: Changing Individual Behaviour and Culture


ISBN13: 9783030887148
To be Published: January 2022
Publisher: Palgrave Macmillan
Country of Publication: Switzerland
Format: Hardback
Price: £89.99



This book is a critical examination of recently introduced individual accountability regimes that apply to the financial services industry in the UK (SMCR) and Australia (BEAR and the forthcoming FAR), together with a forthcoming new individual accountability regime ( in particular, SEAR) in Ireland. It provides a framework for analysing whether these regimes will achieve behavioural change in the financial services industry. This book argues that, whilst sanctioning individuals to deter future misconduct is an important part of any successful regulatory strategy, the focus should be on ensuring that individuals in the financial services industry internalise the norms of behaviour expected under the new regimes. In this regard, the analysis in this book is informed by criminological theory, regulatory theory and behavioural science.

The work also argues for a "trajectory towards professionalisation" of financial services, and banking in particular, as an important means of positively influencing industry-wide norms of behaviour, which have a key influence on firms' and individuals' behaviours.

Subjects:
Banking and Finance
Contents:
CHAPTER 1: CHANGING INDIVIDUAL BEHAVIOUR AND CULTURE - AN INTRODUCTION AND OVERVIEW
CONTRIBUTION TO EXISTING RESEARCH IN THIS AREA
THE STRUCTURE OF THIS MONOGRAPH
CHAPTER 2: 'RESPONSIVELY' REGULATING THE FINANCIAL SERVICES SECTOR: AN EVOLVING ARCHITECTURE
INTRODUCTION: THEORY AND PRACTICE
AN EVOLVING REGULATORY THEORY
IMPLEMENTATION IN PRACTICE: FROM "LIGHT TOUCH" TO INTRUSIVE REGULATION GENERATING CULTURAL CHANGE
CONCLUSION: ATROPHY OR THE POTENTIAL TO FLEX A NEW MUSCLE?
CHAPTER 3: THE SYSTEMIC PROBLEM OF UNETHICAL BEHAVIOURS IN FINANCIAL SERVICES
INTRODUCTION
THE SCALE OF UNETHICAL BEHAVIOURS IN THE FINANCIAL SERVICES SECTOR
CAUSAL FACTORS
CONCLUSION
CHAPTER 4: GENERATING CULTURES OF COMPLIANCE: THE LIMITS OF THE "BIG STICK"
INTRODUCTION
POLITICISATION: BANKERS AS THIEVES, CROOKS, AND TERRORISTS
WEAPONISING THE LAW
ACTING OUT, TOOLING UP, BUT SANCTIONS ARE NO SILVER BULLET
EARLY ATTEMPTS AT INDIVIDUAL ACCOUNTABILITY: THE FIT AND PROPER TEST
THE PROBLEMS WITH PUNISHMENT
CONCLUSION
CHAPTER 5: THE NEW INDIVIDUAL ACCOUNTABILITY REGIMES (IARS)
INTRODUCTION
OVERVIEW OF THE NEW IARS
ARE THE NEW IARS LIKELY TO SUCCEED IN IMPROVING BEHAVIOURS IN THE FINANCIAL SERVICES INDUSTRY?
CONCLUSION
CHAPTER 6: PROFESSIONALISING BANKING - A TRAJECTORY TOWARDS THE INTERNALISATION OF NORMS
INTRODUCTION
WHAT IS A PROFESSION?
A "TRAJECTORY TOWARDS PROFESSIONALISATION"
PROPELLING BANKING FURTHER ALONG THE TRAJECTORY TO PROFESSIONALISATION
CONCLUSION
CHAPTER 7: NEW ACCOUNTABILITY IN FINANCIAL SERVICES - CONCLUDING THOUGHTS

Index

Series: Palgrave Macmillan Socio-Legal Studies

Immigration Judicial Reviews: An Empirical Study ISBN 9783030889265
Published December 2021
Palgrave Macmillan
£99.99
Nobody's Law: Legal Consciousness and Legal Alienation in Everyday Life ISBN 9781137603968
Published June 2018
Palgrave Macmillan
£49.99
£22.99
The Future Regulation of Work: New Concepts, New Paradigms ISBN 9781137432438
Published April 2016
Palgrave Macmillan
£87.99
Changing Concepts of Contract: Essays in Honour of Iain Macneil ISBN 9781137574305
Published November 2015
Palgrave Macmillan
£74.99
Changing Concepts of Contract: Essays in Honour of Iain Macneil ISBN 9781137269263
Published October 2013
Palgrave Macmillan
£109.99