Compliance Systems in Practice

Compliance Systems in Practice

Please read the ”please read me file” and the topic should be on one of the following questions: 1. Consider whether regulatory enforcement has been effective in curbing misbehaviour. 2. Explain the conflicts of interest prevalent in Banks and critically examine how they can be managed. 3. Examine whether the Market Abuse Regulation has led to a reduction in cases of insider dealing and market manipulation. 4. Critically discuss the usefulness of the three lines of defence model. 5. Critically assess the purpose and function of Compliance in Banks. 6. Consider whether training or surveillance is a better control available to a Compliance Officer. 7. Explore whether self-regulation in the securities markets is an effective method of regulation. 8. Critically discuss why it is important to communicate in a fair, clear and non misleading way with clients and the pitfalls of inaccurate communications. Thanks in advance.