Alexander Dill

Bank Regulation, Risk Management, and Compliance (eBook, PDF)

Theory, Practice, and Key Problem Areas

• Format: PDF

Produktbeschreibung

Bank Regulation, Risk Management, and Compliance is a concise yet comprehensive treatment of the primary areas of US banking regulation - micro-prudential, macro-prudential, financial consumer protection, and AML/CFT regulation - and their associated risk management and compliance systems.

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Produktdetails

• Verlag: Taylor & Francis
• Seitenzahl: 340
• Erscheinungstermin: 1. Oktober 2019
• Englisch
• ISBN-13: 9781000702514
• Artikelnr.: 57842857

Autorenporträt

Alexander Dill is Lecturer in the Financial Mathematics Program at the University of Chicago and Lecturer in Law at the UCLA School of Law. He is a recognized expert on the financial markets and the regulatory, risk management, and compliance frameworks that apply to them. He worked in the finance industry for nearly 30 years, first in private corporate law practice and subsequently at the US Securities and Exchange Commission and Moody's Investors Service.

Inhaltsangabe

List of figures
List of tables
List of abbreviations
Table of legal sources
Note about the author
Acknowledgments
Introduction
Part I Foundations
Chapter 1 The banking business model and rise of the financial conglomerate
Chapter 2 The bank regulatory framework and formation and conveyance of
regulatory expectations
Chapter 3 Managing banks' risks through a corporate governance framework
Part II Primary areas of bank regulation and internal governance
Chapter 4 The role of risk management and compliance in micro-prudential
capital regulation
Chapter 5 The role of risk management and compliance in micro-prudential
oversight
Chapter 6 The role of corporate governance in macro-prudential regulation
of systemic risk
Chapter 7 The capital solution to systemic risk: Risk management and
compliance implications
Chapter 8 The structural solution to systemic risk: Risk management and
compliance implications
Chapter 9 The role of risk management and compliance in consumer protection
regulation
Chapter 10 The role of risk management and compliance in the payments
system: AML/CFT regulation
Chapter 11 The future of bank regulation, risk management, and compliance
References
Index

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List of figures

List of tables

List of abbreviations

Table of legal sources

Note about the author

Acknowledgments

Introduction

Part I Foundations

Chapter 1 The banking business model and rise of the financial conglomerate

Chapter 2 The bank regulatory framework and formation and conveyance of regulatory expectations

Chapter 3 Managing banks' risks through a corporate governance framework

Part II Primary areas of bank regulation and internal governance

Chapter 4 The role of risk management and compliance in micro-prudential capital regulation

Chapter 5 The role of risk management and compliance in micro-prudential oversight

Chapter 6 The role of corporate governance in macro-prudential regulation of systemic risk

Chapter 7 The capital solution to systemic risk: Risk management and compliance implications

Chapter 8 The structural solution to systemic risk: Risk management and compliance implications

Chapter 9 The role of risk management and compliance in consumer protection regulation

Chapter 10 The role of risk management and compliance in the payments system: AML/CFT regulation

Chapter 11 The future of bank regulation, risk management, and compliance

References

Index

Rezensionen

'This is a comprehensive guide to US banking regulations which have evolved into a more invasive supervisory approach compared to the market-based approach that existed before the Global Financial Crisis (GFC). 1 The book covers the banking business, the unique features of banks' corporate governance and conflicts of interest (COIs), and the primary areas of banking regulations and the associated supervisory expectations for risk management and compliance (p.6).'

- Dr Sau Wai Law, Assistant Professor, Hong Kong Shue Yan University