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Gain the conduct regulator's approval and avoid infractions with this guide to culture assessment and audit in financial markets.
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Gain the conduct regulator's approval and avoid infractions with this guide to culture assessment and audit in financial markets.
Produktdetails
- Produktdetails
- Verlag: Kogan Page Ltd
- Artikelnr. des Verlages: 13133
- Seitenzahl: 448
- Erscheinungstermin: 29. Juni 2021
- Englisch
- Abmessung: 228mm x 155mm x 26mm
- Gewicht: 688g
- ISBN-13: 9781789667752
- ISBN-10: 1789667755
- Artikelnr.: 59761925
- Verlag: Kogan Page Ltd
- Artikelnr. des Verlages: 13133
- Seitenzahl: 448
- Erscheinungstermin: 29. Juni 2021
- Englisch
- Abmessung: 228mm x 155mm x 26mm
- Gewicht: 688g
- ISBN-13: 9781789667752
- ISBN-10: 1789667755
- Artikelnr.: 59761925
Dr Roger Miles researches behavioural risk and the impacts of conduct regulation. He is Head of Faculty for UK Finance's Conduct and Culture Academy, an industry-wide initiative which gathers, establishes and disseminates 'best practice' in the measurement and regulatory reporting of human-factor risks. He counsels Boards on human risk factors and uncertainty, delivers bespoke risk workshops for leadership groups in a variety of sectors, and is regularly called upon to liaise with professional groups internationally.
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;
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;
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;