Compliance Norms in Financial Institutions

Explores how the matrix organisational structure impacts compliance in corporations and what the mechanisms are for cross-border efficiency of compliance normsAssesses and manages the non-compliance "risk appetite" and how compliance can be used as a tool to limit product and process liabilities Includes case studies of major real-life non-compliance examples that resulted in serious fines

Auteur

Tomasz Braun graduated with his PhD from the Faculty of Law and Administration of Lazarski University, Poland. Since then, he has been a lecturer for courses in corporate law for the same institution. His research areas include banking, finance, M&As and restructuring. Dr. Braun's professional background also includes consulting in cross-border transactions, post-acquisition integration projects, implementing restructuring programmes and dispute resolutions-as a general counsel in global financial institutions and as a partner in international law firms.

Contenu

Chapter 1. Introduction.- Chapter 2. Compliance Norms and Legal Coherence.- Chapter 3. Compliance in Financial Institutions Tasks, Functions and Structure.- Chapter 4. The Scope Compliance Norms in Financial Institutions.- Chapter 5. The Impact of Cultural Differences on Compliance Norms.- Chapter 6. Organizing Postulates - A Proposal for A Model Approach. <p