Gain the conduct regulator's approval and avoid infractions with this guide to culture assessment and audit in financial markets.Hinweis: Dieser Artikel kann nur an eine deutsche Lieferadresse ausgeliefert werden.
Dr Roger Miles researches behavioural risk and the impacts of conduct regulation. He counsels Boards on human risk factors and uncertainty, and delivers bespoke risk workshops for leadership groups in government, NGOs and the professions. He teaches risk-related psychology at graduate schools including Cambridge University and the UK Defence Academy. Roger Miles also co-edits the LSE's annual Behavioural Economics Guide and publishes best practice guidance notes through professional bodies including UK Finance, the Association of British Insurers (ABI), Global Association of Risk Professionals (GARP) and the Institute of Operational Risk (IOR).
Inhaltsangabe
Chapter 01: A culture quest for 'better behaviour; Chapter 02: 'How regulators' 'behavioural approach' went global with culture its latest focus; Chapter 03: 'The house is on fire How regulators own research has pointed to 'culture reset'; Chapter 04: What's the big idea? (1) How conduct regulators use behavioural science; Chapter Interlude One: From poacher to gamekeeper to poacher. to scientist A supervisor's tale; Chapter 05: What's the big idea? (2) Regulators' challenge to firms framing 'purposeful culture'; Chapter 06: A 'behaviour at risk' agenda emerges Questioning purpose, lost trust and cultural coercion; Chapter 07: The new mindset and language of culture Assessing financial and non financial conduct; Chapter 08: Audit basics How the practice of culture audit differs from conventional auditing; Chapter 09: The new management reporting information (MI) for culture Part 1 Getting past the old MI; Chapter 10: The new reporting Part 2 Developing the framework from culture models to better questions and indicators; Chapter Interlude Two: Case example Culture rating in a retail bank; Chapter 11: Interventions and enforcements How regulators have responded to a 'culture crisis'; Chapter 12: Intelligence gathering versus surveillance Tried and failed methods; putting the latest research tools to work; Chapter Interlude Three: A sector wide group seeks culture 'tells' (Observing indications of good and poor conduct); Chapter 13: Putting respected research tools to work, example 1 Tools for cultural transformation Barrett Analytics; Chapter 14: Putting respected research tools to work, example 2 Using the CultureScope 'combined analytic' to deliver measurably better culture; Chapter 15: What regulators really want Wrap up and look ahead; Chapter 16: Glossary; Chapter 17: Recommended reading;
Chapter 01: A culture quest for 'better behaviour; Chapter 02: 'How regulators' 'behavioural approach' went global with culture its latest focus; Chapter 03: 'The house is on fire How regulators own research has pointed to 'culture reset'; Chapter 04: What's the big idea? (1) How conduct regulators use behavioural science; Chapter Interlude One: From poacher to gamekeeper to poacher. to scientist A supervisor's tale; Chapter 05: What's the big idea? (2) Regulators' challenge to firms framing 'purposeful culture'; Chapter 06: A 'behaviour at risk' agenda emerges Questioning purpose, lost trust and cultural coercion; Chapter 07: The new mindset and language of culture Assessing financial and non financial conduct; Chapter 08: Audit basics How the practice of culture audit differs from conventional auditing; Chapter 09: The new management reporting information (MI) for culture Part 1 Getting past the old MI; Chapter 10: The new reporting Part 2 Developing the framework from culture models to better questions and indicators; Chapter Interlude Two: Case example Culture rating in a retail bank; Chapter 11: Interventions and enforcements How regulators have responded to a 'culture crisis'; Chapter 12: Intelligence gathering versus surveillance Tried and failed methods; putting the latest research tools to work; Chapter Interlude Three: A sector wide group seeks culture 'tells' (Observing indications of good and poor conduct); Chapter 13: Putting respected research tools to work, example 1 Tools for cultural transformation Barrett Analytics; Chapter 14: Putting respected research tools to work, example 2 Using the CultureScope 'combined analytic' to deliver measurably better culture; Chapter 15: What regulators really want Wrap up and look ahead; Chapter 16: Glossary; Chapter 17: Recommended reading;
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