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The Compliance Revolution: How Compliance Needs to Change to Survive

The Compliance Revolution: How Compliance Needs to Change to Survive

  • 作者:
  • 出版商: John Wiley & Sons
  • ISBN: 9781119020592
  • 出版时间 August 2015
  • 规格: Hardback , 300 pages
  • 适应领域: International ? 免责申明:
    Countri(es) stated herein are used as reference only

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  • 描述 
  • 大纲 
  • 作者 
  • 详细

    The Compliance Revolution—Practical, Powerful Changes for Strategic Organizational Value

    Compliance is absolutely critical in creating a robust and resilient organization, one which is trusted by clients and contributes to market stability. Firms must approach compliance differently in order to meet these standards. Written for compliance staff, regulatory organizations, and senior management, The Compliance Revolution explains how key changes in compliance affect underlying principles, practices, roles, expectations and values. This valuable resource for global practitioners assists in navigating compliance requirements and implementing solid protection for a sound organization.

    Author David Jackman presents a coherent model for understanding and applying key developments in regulation and compliance. While the model is based on financial services, it can be applied to any sector and industry. It identifies five critical compliance components: Start-up, crises, expansion, sustainability, and outcomes-led focus.

    You will also discover:

    • Why compliance is worth spending money on
    • What your firm could and should be doing differently
    • The importance of ethics in compliance and regulatory challenges
    • How to create a pro-compliance culture
    • Ten principles of good governance and why good governance matters
    • How to employ judgment-based compliance
    • The features and benefits of corporate maturity

    The Compliance Revolution is a crucial asset for all those with stakes in compliance—board members, compliance managers, and employees. David Jackman outlines key compliance challenges and reveals the practical tools and techniques required for successful practice. The insight, examples, and strategies in this comprehensive guidebook will help you and your organization achieve increasingly efficient, substantially more effective compliance procedures and practices.

  • Preface xi

    Acknowledgments xiii

    About the Author xv

    PART ONE Theory

    CHAPTER 1 New Compliance 3

    The Challenge 3

    Turning Point 4

    Traditional Compliance 4

    New Compliance 5

    Shared Journey 5

    CHAPTER 2 General Model of Regulatory and Compliance Development 7

    Introduction to Development Models 7

    General Model of Regulatory and Compliance Development 8

    International Comparisons 11

    Example of the UK 11

    Using Regulatory Toolkits 13

    Conclusion 14

    Endnote 14

    CHAPTER 3 Is Compliance Worth the Money? 15

    An Unfortunate Unconformity 15

    The 2008 Global Financial Crisis 16

    Legacy of Failure 18

    Post-2008 19

    Increasing Compliance Spend 22

    A Line in the Sand 22

    Future Challenges 24

    Conclusion 24

    Endnotes 25

    PART TWO Practice

    CHAPTER 4 Ethics 29

    Definitions 29

    Ethics in Regulation and Compliance 29

    An Ethical Framework for Financial Services 30

    Ethics in Business 31

    How Should a Compliance Practitioner Approach Ethics? 32

    Ethics at Work versus Ethics at Home 33

    Steps Towards Developing Ethics 33

    Main Tools for Identifying and Applying Corporate Ethics 35

    Three Critical Steps in Establishing Ethics 35

    Ethics in Regulation 56

    Principles and Ethics 57

    Advantages and Disadvantages of Principles 58

    Principles-Based Regulation 60

    Conclusion 65

    Endnotes 66

    CHAPTER 5 Culture 67

    Pro-Compliance Culture 68

    What Is Culture? 69

    What Is a Values-Led Mind-Set? 69

    Changing and Embedding Culture 70

    How to Change Culture 74

    Creating Crucibles in Regulation—Examples 77

    Regulatory Methodologies 80

    UK Indicators 83

    Fair Dealing in Singapore 88

    Measuring Culture 89

    Conclusion 93

    Endnotes 93

    CHAPTER 6 Good Governance 95

    Why Does Governance Matter? 96

    What Is Corporate Governance? 97

    A Model of Good Governance 101

    Ten Principles of Good Governance 102

    Conclusion 131

    Review: The State of Corporate Governance 131

    Endnotes 138

    CHAPTER 7 Outcomes 139

    Why Is This Step Up So Significant? 139

    What Is Outcome? 141

    Why Is Outcome So Important? 142

    Development Matrix 147

    Outcomes in Singapore Regulation 149

    Outcomes and Enforcement 150

    Conclusion 151

    Endnotes 152

    PART THREE Purpose

    CHAPTER 8 Community 155

    Importance of Community 156

    Role of Companies 156

    Social Usefulness of Banks 158

    Role of Compliance 159

    Definition of Community 160

    Community Principles 161

    Sustainable Communities Principles—What Do They Mean? 162

    Development Matrix 164

    Corporate Social Responsibility 167

    New Reporting Standards 167

    Behavioural Economics 168

    Vulnerable Consumers 171

    Conclusion 174

    Endnotes 174

    CHAPTER 9 Corporate Faith 175

    What Is Corporate Faith? 176

    Managing Corporate Faith 177

    The Value of Corporate Faith 177

    Dimensions of Corporate Faith 179

    How Faith Develops 183

    Corporate Faith into Practice 184

    Professionalism 184

    Judgment-Based Compliance 186

    Conclusion 186

    CHAPTER 10 Corporate Maturity 187

    What Is Maturity? 187

    Maturity and a Direction of Travel 189

    Unconditionality 194

    The Underlying Process 195

    Corporate Maturity Framework 197

    Cavitation 198

    Connecting the Five Stages of Development with the Five

    Levels of Maturity 199

    Conclusion 199

    Index 201

  • DAVID JACKMAN is a non-executive director, writer, lecturer and TV and radio commentator and has his own consultancy, intotheclearing.com, specialising in helping firms to work 'Beyond Compliance'. He also founded the Ethics Foundation and the 'Ethics Mark®' for value-led businesses, which he is launching in Singapore.

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