Do financial regulation advisors help their clients become more profitable? In this paper, we present a model where financial service firms may add to their own compliance teams or hire outside compliance advisors. We derive the conditions under which a financial services firm will want to hire...

Introduction -- A new approach to compliance and the lessons from Wells Fargo -- Compliance and 'whistleblowing' and corporate psychology -- Compliance and Regulators -- Finding the right people and the key functions of the compliance organisation -- The operational tools of compliance --...

Im Mittelpunkt dieses Buches stehen, anders als bei vielen Standardwerken zur Compliance, nicht die Ziele, sondern die Mittel, die eine wirkungsvolle Compliance ermöglichen. Aus der Innensicht des Compliance Officer werden alltägliche Probleme thematisiert und anhand konkreter, praxiserprobter...

Background and foundation of compliance -- Decisions, goals, and planning -- Compliance officer appearance -- Supervisors, groups, and entry-level employees -- Partners, allies, competitors -- Audits and training -- Conflicts, compliance violation, and detection -- Development and perspectives.