Inside, the reader will find the following key resources: (1) Regulatory Compliance Matrix: a synopsis of the principal domains of applicable regulation, setting forth legal norms, ancillary standards and guidelines. This Matrix covers the laws and regulations specific to financial services (Part I) and information and communications technology (Part II) at the global and European as well at the UK national and sub-national level. Part III of the Matrix covers generally applicable regulatory domains like corporate governance, consumer protection and employment law, information security, data protection and electronic commerce. (2) Regulatory authorities: a comprehensive listing with descriptions of authorities who define the regulatory agenda. Weblinks are provided for each authority, which enables the reader to access the latest regulatory developments and updates.( 3) Overview of the conduct of effective compliance programmes: a pragmatic approach to the entire process, from scoping and prioritisation, conducting risk assessments, defining control activities and reporting requirements; to undertaking effectiveness reviews, documenting findings and making recommendations; to assessing compliance maturity and creating action plans. (4) Non-compliance costs checklist: a detailed list of financial, operational, personal, and regulatory risks. This will assist readers with risk assessment and prioritisation of compliance domains.

About the Author
Guido Reinke is as a certified auditor and assurance professional advising firms in matters of regulation, corporate governance, and compliance programmes. His industry specialism is financial services and information and communication technology. After employment by the European Commission, he worked for regulated industries and at Big Four professional services firms. He holds a Doctorate in Politics and International Relations from the University of London, and has lectured on Regulatory Governance at the London School of Economics.


Book Information
ISBN 9781908585059
Author Guido Reinke
Format Paperback
Page Count 296
Imprint Gold Rush Publishing
Publisher Gold Rush Publishing
Dimensions(mm) 169mm * 244mm * 15mm