Regulatory compliance is a risk that every business must manage. Compliance risks arise across a range of diverse regulatory domains, from financial to environmental regulation. With publics and politicians demanding ever greater levels of safety, accountability and transparency from business, both the intensity and the scale of regulatory intervention is increasing, presenting considerable challenges to businesses and their managers. This book will provide a short introduction to the key issues in managing compliance risk. Its key contention is that the management of compliance risk presents a rich opportunity for businesses to add value and continually improve their processes and outcomes - and that regulatory compliance need no longer be seen as simply a business-limiting cost-centre. This book will use a range of practical examples from a number of industries to illustrate the most prominent and essential issues in regulatory compliance, and will draw on the most relevant academic research in the field. In doing so, the book will also identify a range of lessons drawn from the many parallels that exist between different industries and regulatory domains.
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Carl Macrae PhD is Special Advisor at the NHS National Patient Safety Agency and has previously held posts at the ESRC Centre for Analysis of Risk and Regulation, London School of Economics and Political Science and in the regulatory risk group of an investment bank. His work focuses on the analysis and management of risk, knowledge and resilience in complex, heavily regulated industries. Carl is a Chartered Psychologist and is a specialist in aviation risk management. Carl has taught on risk management and regulation courses at the LSE and the University of East Anglia. Amelie Snape MSI is a Senior Associate at a boutique financial services regulatory consultancy based in London. Amelie has previously held roles for in-house compliance teams, including both a global institutional asset manager, and a private client investment management firm. Her first hand compliance experience spans diverse businesses and includes responsibility for designing and implementing a broad range of compliance monitoring. Amelie has also led in depth compliance reviews, developed internal policies and procedures, and worked extensively with businesses to provide ongoing support and advice on regulatory matters. Amelie is a member of the Securities and Investments Institute, and holds the SII Diploma in Investment Compliance.
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