Governance Compliance and Supervision in the Capital Markets, Website 1st Edition by Sarah Swammy, Michael McMaster 1119380641 9781119380641

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Product details:

ISBN-10 :  1119380641 

ISBN-13 :  9781119380641

Author:  Sarah Swammy, Michael McMaster 

Governance, Compliance, and Supervision in the Capital Markets demystifies the regulatory environment, providing a practical, flexible roadmap for compliance. Banks and financial services firms are under heavy regulatory scrutiny, and must implement comprehensive controls to comply with new rules that are changing the way they conduct business. This book provides a way forward, with clear, actionable guidance that strengthens governance at all levels, and balances supervisory and compliance requirements with the need to do business. From regulatory schemes to individual roles and responsibilities, this invaluable guide details the most pressing issues in today’s financial services organizations, and provides expert advice. The ancillary website provides additional tools and guidance, including checklists, required reading, and sample exercises that help strengthen understanding and ease real-world

Governance, Compliance and Supervision in the Capital Markets, Website 1st Table of contents:

CHAPTER 1: Capital Markets Participants, Products, and Functions
THE BASIC PRODUCTS OFFERED IN CAPITAL MARKETS
CAPITAL MARKETS AS A SUBSTITUTE FOR BANK LENDING
THE KEY STAKEHOLDERS IN CAPITAL MARKETS
TYPES OF MARKETS
CAPITAL MARKETS DEVELOPMENT
REGULATORY AND SUPERVISORY FRAMEWORK
NOTE
CHAPTER 2: How the Financial Crisis Reshaped the Industry
THE SITUATION PRIOR TO THE FINANCIAL CRISIS
OVERVIEW OF REGULATIONS INTRODUCED 2008–2015
IMPACTS ON BUSINESS MODELS
THE IMPACT ON CAPITAL MARKETS FUNCTIONS
CHAPTER 3: Governance
GOVERNANCE, OVERSIGHT, AND CONTROL
COMMUNICATION IN THE ORGANIZATION
COMPLIANCE
INTERNAL AUDIT
COMPENSATION: THE HOT BUTTON ISSUE
DISCLOSURE AND REPORTING
SUMMARY
NOTES
CHAPTER 4: Overview: Capital Markets Compliance
DIFFERENTIATION BETWEEN COMPLIANCE AND LEGAL DEPARTMENTS
ROLES AND RESPONSIBILITIES OF THE CHIEF COMPLIANCE OFFICER
ROLES AND RESPONSIBILITIES OF THE COMPLIANCE DEPARTMENT
ASSESSING THE EFFECTIVENESS OF THE PROGRAM
SUMMARY OF CCO OBLIGATIONS
DIFFERENCE BETWEEN COMPLIANCE AND SUPERVISION
NOTE
CHAPTER 5: Overview: Supervision
STRUCTURE OF SUPERVISION
DELEGATION AND ESCALATION
RESPONSIBILITIES OF SUPERVISORS
WRITTEN SUPERVISORY PROCEDURES
CHAPTER 6: Central Role of Finance and Operations
THE NET CAPITAL RULE—SEA RULE 15C3–1
LIQUIDITY RISK AND THE NET CAPITAL RULE
THE CUSTOMER PROTECTION RULE—SEA RULE 153–3
PREPARATION AND REPORTING REQUIREMENTS
OPERATIONAL RISK
A WORD ON MARKET AND CREDIT RISKS
CHAPTER 7: Cyber Risk Role in Governance Model and Compliance Framework
CYBER RISK AS A PART OF OPERATIONAL RISK GOVERNANCE WITHIN THREE LINES OF DEFENSE MODEL
CYBER RISK INTEGRATION WITH OPERATIONAL RISK PROCESSES
CYBER RISK MEASUREMENT AND ASSESSMENT FRAMEWORKS
CYBER RISK REGULATION OVERVIEW
ORGANIZATIONAL COMPLIANCE AND SUPERVISION

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