Compliance is key to the operation and reputation of the financial services sector and is now completely embedded in … 2000. A great deal has been written on the topic of compliance and the core objective of this paper is to review and … comment on the current approach to compliance which has evolved since the introduction of the Financial Services Act 1986. It …

Purpose – The purpose of this paper is to focus on changes in the compliance function within major European banks and … compliance function “at the top” of the organizational structure? Are the roles attributed to the compliance function, their …/or a quantitative approach? Is the interaction between the compliance function inside and outside the structure appropriate …

practices promoting excessive risk. GCC compliance regimes through multinational organizations and the exposure of the region to …

Purpose – The purpose of this paper is to focus on changes in the compliance function within major European banks and … compliance function “at the top” of the organizational structure? Are the roles attributed to the compliance function, their …/or a quantitative approach? Is the interaction between the compliance function inside and outside the structure appropriate …

) initiatives and, thus, to deliver practical insights into MiFID II implementation, compliance and cost reduction MiFID II …) initiatives for MiFID II compliance. Findings – MiFID II commands significant changes in business and operating models. With this … addresses the MiFID II compliance issues by adopting European Union and non-European Union banks’ and asset managers …

-money laundering (AML) compliance, and considers the future AML implications for the banking sector and HSBC. It reviews the use of a … whistleblower to highlight AML irregularities rather than official reporting through the current AML compliance system. Design … context for AML from an agency theory perspective. Findings – The main findings are that AML compliance needs to be embedded …

practices promoting excessive risk. GCC compliance regimes through multinational organizations and the exposure of the region to …

regulatory regime. It defines the terms of competence and compliance in the context of the change of emphasis from individual to … corporate compliance competence. It recognises the importance of the introduction of competence within the financial sector and … considers the Financial Services Authority’s (FSA’s) more expansive interpretation of compliance competence in the context of …

charges. Despite budget pressures they must therefore continue to invest in technologies in support of their compliance …

Compliance is key to the operation and reputation of the financial services sector and is now completely embedded in … 2000. A great deal has been written on the topic of compliance and the core objective of this paper is to review and … comment on the current approach to compliance which has evolved since the introduction of the Financial Services Act 1986. It …