Compliance is a fundamental control function within regulated industries globally. This book provides an expert introduction to corporate compliance using cases, examples and insights from the financial services sector and beyond. The author, an experienced compliance practitioner and academic, highlights compliance challenges, using examples such as Wells Fargo, whistleblowing in the financial services and the mis-selling of payment protection insurance in the UK banking sector. The book explores strategies for creating compliant cultures and fostering regulatory trust, whilst practical guidance is provided on anticipating regulatory changes. Addressing organisational obstruction and delay, the author presents a series of valuable tools and techniques for real-world practice. An essential professional development resource for board directors, compliance officers and other senior managers, the book also provides a unique learning and development resource for students of corporate compliance globally.

A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.

In Strategies of Compliance with the European Court of Human Rights, Andreas von Staden traces the impact of human rights violations in Germany and the United Kingdom and details how governments, legislators, and domestic judges responded to the court's demands for either financial compensation or changes to laws, policies, and practices.

Regulatory agencies and their requirements.

Why do individuals say what they do during everyday face-to-face influence interactions? How do people seek or resist compliance in different relational, institutional, and cultural contexts? Linking theory and research to salient, real life examples and recent academic studies, Steven Wilson introduces the reader to the theories, systems of message analysis, complexities and nuances of interpersonal persuasion. Seeking and Resisting Compliance is the only single-authored, interdisciplinary text to explore compliance gaining and resistance from a message production perspective. This incisive, clearly written text is ideal for students, scholars, and anyone interested in interpersonal influence and persuasion in everyday interactions. Recommended for graduate and upper-level undergraduate courses in persuasion as well as special topics courses in interpersonal influence, social psychology, and sociolinguistics. Features of this text: Ground breaking, specific focus on message production as opposed to only message effects. Multiple theoretical perspectives are presented and the vast body of research from communication, psychology, linguistics, philosophy and related fields is reviewed. Student-friendly pedagogy, such as definitions, examples, and sections describing "common assumptions" about various theories engage students and highlight important concepts. Steven Wilson currently is an Associate Professor and Director of Graduate Studies in the Department of Communication at Purdue University. He is one of five associate editors for the interdisciplinary journal Personal Relationships, and past chair of the International Communication Association's Interpersonal Communication division. His research and teaching focus on interpersonal influence and message production in a variety of contexts, from parent-child interaction in abusive families to intercultural business negotiations. He has published nearly forty articles and book chapters on these topics.