Compliance - En gränsöverskridande undersökning i finansmarknadsrätt, bankrätt, värdepappersmarknadsrätt och straffrätt

التفاصيل البيبلوغرافية
العنوان:	Compliance - En gränsöverskridande undersökning i finansmarknadsrätt, bankrätt, värdepappersmarknadsrätt och straffrätt
بيانات النشر:	Lunds universitet/Juridiska institutionen 2015
تفاصيل مُضافة:	Käll, Pierre Johan
نوع الوثيقة:	Electronic Resource
مستخلص:	Financial markets have a central role in a well-working society and a bank has a central role on a well-functioned financial market. The characteristic of a bank’s business contributes to the financial ecosystem and promotes stability on the financial market. The society is undeniably becoming more and more globalised. This, combined with a constant technical development, has continuously led to the development of financial instruments and markets. This results in great opportunities but also great risks for financial markets. One of these risks is the compliance risk, which is a type of operational risk. The compliance risk may be understood as: ”The expression ’compliance risk’ is defined […] as the risk of legal or regulatory sanctions, material financial loss, or loss to reputation a bank may suffer as a result of its failure to comply with laws, regulations, rules, related self-regulatory organisation standards, and codes of conduct applicable to its banking activities (together, ’compliance laws, rules and standards’)”. (The Basel Committee in Compliance and the compliance function, s. 7, 3 §). Throughout the years, financial markets around the world have been affected by numerous disturbances causing instability on financial markets. This has led to devastating consequences for the financial markets, its actors, as well as for the society as a whole. However, on the other hand, the occurrence of financial crises, does also create opportunities for necessary changes. For example, the Basel Committee was established by the end of the 1970s and upholds financial stability at financial markets, the Financial Action Task Force was established in the late 1980s and promotes the work to prevent money laundering and terrorist financing. These intergovernmental institutions are today providing guidance within each sector. Recent examples on such financial crises are the large bank crises in Sweden at the beginning of the 1990s and the global financial crisis which int Finansmarknaden intar en central roll i ett väl fungerande samhälle och banken intar en central roll för en väl fungerande finansmarknad. Bankverksamhetens olika karaktärsdrag bidrar till att det finansiella ekosystemet fungerar vilket innebär att den finansiella stabiliteten på finansmarknaden främjas. Samhällsutvecklingen är ofrånkomligen inriktad mot en globalisering. Detta i kombination med den tekniska utvecklingen möjliggör att finansmarknaden kontinuerligt är föremål för att nya finansiella marknader och finansiella instrument skapas och vidareutvecklas. För en bank innebär detta stora möjligheter samtidigt som det även innebär stora risker. En sådan typ av risker är compliancerisker vilka är en förgrening av operativa risker. Compliancerisker kan inbegripa följande: ”The expression ’compliance risk’ is defined […] as the risk of legal or regulatory sanctions, material financial loss, or loss to reputation a bank may suffer as a result of its failure to comply with laws, regulations, rules, related self-regulatory organisation standards, and codes of conduct applicable to its banking activities (together, ’compliance laws, rules and standards’)”. (Baselkommittén i Compliance and the compliance function, s. 7, 3 §). Genom åren har finansmarknader runtomkring i världen varit föremål för åtskilliga störningar vilket inneburit att finansmarknaden rubbats. Detta har resulterat i förödande konsekvenser för finansmarknadens aktörer samt för samhället i stort. Mot bakgrund av att finanskriser inträffar skapas även möjligheten till förändring. Baselkommittén etablerades i slutet av 1970-talet och verkar för finansiell stabilitet på finansmarknaden. Financial Action Task Force etablerades i slutet av 1980-talet och verkar för att främja arbetet mot penningtvätt och finansiering av terrorism. Dessa mellanstatliga institutioner är idag vägledande inom respektive område. I modern tid kan den stora bankkrisen i Sverige i början av 1990-talet samt den globala finanskrisen v
مصطلحات الفهرس:	Komparativ rätt, Intern styrning och kontroll, Compliancerisk, Självreglering, Compliancefunktion, Regelefterlevnad, Compliance, Finansmarknadsrätt, Finansrätt, Finansmarknad, Finanskris, Finansinspektionen, FFFS 2005:1, Bankrätt, Baselkommittén, Kapitaltäckningsreglerna, Systemrisk, Sveriges riksbank, RIX, Den stora bankkrisen i Sverige, Den globala finanskrisen, FI Dnr-1784, Värdepappersmarknadsrätt, Straffrätt, Penningtvättsdirektiv, Penningtvättslagen, EU, Globalisering, Mellanstatlig institution, Compliance Function, Compliance Risk, Comparative Law, Fiscal Law, Financial Market, Financial Crisis, Lehman Brothers, Financial Services Action Plan (FSAP), Banking Law, The Basel Committee, European Banking Authority (EBA), Criminal Law, Money Laundering Directive, Financial Action Task Force (FATF), Anti-Money Laundering (AML), Customer Due Diligence (CDD), Countering the Financing of Terrorism (CFT), Know Your Customer (KYC), Politically Exposed Persons (PEPs), Globalisation, Intergovernmental Institutions, The London Whale Case, Law and Political Science, H3
URL:	http://lup.lub.lu.se/student-papers/record/8523005
الإتاحة:	Open access content. Open access content
ملاحظة:	application/pdf Swedish
أرقام أخرى:	LBT oai:lup-student-papers.lub.lu.se:8523005 1358385692
المصدر المساهم:	LUND UNIV LIBR From OAIster®, provided by the OCLC Cooperative.
رقم الأكسشن:	edsoai.on1358385692
قاعدة البيانات:	OAIster

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