How the approach taken to enforcement supports

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Reference no: EM131551885 , Length: word count:3000

International Diploma in Governance, Risk and Compliance

Question

Taking action against firms that do not meet the required regulatory standards is an important element of an effective regulatory regime. Regulators generally have a variety of disciplinary, criminal and civil powers available to them to take action against firms and individuals who are failing or have failed to meet the standards required.

Research the approach to enforcement by the regulator in a jurisdiction and sector of your choice since the beginning of this decade. Evaluate how effective the approach to enforcement has been, both in your chosen jurisdiction and sector and in other jurisdictions, and consider how this might be improved upon.

From the perspective of a governance, risk and compliance (GRC) professional writing on this topic, produce a paper to be used as the basis of discussion with a group of your GRC peers, that:

- Considers how the approach taken to enforcement supports regulators' authorisation, standard setting and supervision activities

- Addresses how the current approach could be further improved to more effectively achieve regulatory objectives, stating clearly how you believe this will benefit your chosen jurisdiction and sector, and a firm of your choosing that is regulated within that sector.

Support your paper with examples that will aid discussion on this topic.

Reference no: EM131551885

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Reviews

len1551885

7/3/2017 4:52:26 AM

Guidance ? Please state which region/jurisdiction you are from in the header of each page. ? Please submit one document only in a Microsoft Word format. ? Save the assignment as your candidate ID number e.g. CON-00001236564. ? Word count should be between 2,500 and 3,500 words. This includes all footnotes, in text references and appendices but excludes any bibliography, reference or contents page(s). NB Appendices should only be used in exceptional circumstances and should consist of only brief extracts or tables. ? Further advice on all aspects of assignment writing and submission is available in the Student Support Area.

len1551885

7/3/2017 4:52:08 AM

Evaluate how effective the approach to enforcement has been, both in your chosen jurisdiction and sector and in other jurisdictions, and consider how this might be improved upon. From the perspective of a governance, risk and compliance (GRC) professional writing on this topic, produce a paper to be used as the basis of discussion with a group of your GRC peers, that: . Considers how the approach taken to enforcement supports regulators' authorization, standard setting and supervision activities . Addresses how the current approach could be further improved to more effectively achieve regulatory objectives, stating clearly how you believe this will benefit your chosen jurisdiction and sector, and a firm of your choosing that is regulated within that sector. Support your paper with examples that will aid discussion on this topic.

len1551885

7/3/2017 4:52:01 AM

Taking action against Financial Institutes that do not meet the required regulatory standards is an important element of an effective regulatory regime. Regulators generally have a variety of disciplinary, criminal and civil powers available to them to take action against firms and individuals who are failing or have failed to meet the standards required. Research the approach to enforcement by the regulator in The Sultanate of Oman and the Banking Sector since the beginning of this decade. Evaluate how effective the approach to enforcement has been, both in your chosen jurisdiction and sector and in other jurisdictions, and consid

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