Advance Praise -- Title Page -- Copyright -- Table of Contents -- Dedication -- Preface -- Acknowledgments -- About the Author -- Opening Notes -- Design and Structure of the Book -- Part One: Introduction to Compliance in Financial Services -- Chapter 1: An Overview of Compliance in Financial Services -- A Brief History and Evolution of Compliance -- Chapter 2: Compliance in the Twenty-First Century -- Drivers of Compliance -- Broad Areas of Regulation and Supervision in Financial Services -- Major Bodies That Define Compliance Boundaries for Financial Services -- Part Two: The What, Why, and Who of Compliance -- Chapter 3: What Is "Compliance"? -- Compliance in the Context of Banking and Financial Services -- Understanding the Semantic Maze of Compliance -- Interconnects -- Chapter 4: Why Is Compliance Needed? -- Why Regulate? -- Why Comply? -- Consequences of Noncompliance -- Cost-Benefit Analysis of Active Compliance -- Interrelationship between Business Model, Strategy, and Compliance -- Active Compliance-a Strategic Tool in Value Creation, Preservation, and Enhancement -- Chapter 5: Who Are the Players in the Compliance Universe? -- The Universe of the Financial System-A Bird's-Eye View -- Primer on Major Players in the Financial System -- Stakeholders of the Compliance Universe -- Compliance Roles -- Part Three: The How of Compliance -- Chapter 6: Compliance Framework -- Managing the Compliance Maze -- Chapter 7: Operationalizing Compliance -- Operational Framework -- Points to Note -- Compliance Culture Dimension -- Part Four: The Compliance Risk Dimension -- Chapter 8: Exploring the Concept of Compliance Risk -- Defining Risk -- Overlap of Financial Risks and Compliance Risk -- Compliance Risk-An Introduction -- Defining Compliance Risk -- Subcategories of Compliance Risk -- Compliance Risk and Organizational Complexity Scale.

Chapter 9: Compliance Risk Management -- Risk Appetite -- Risk Identification -- Risk Assessment -- Risk Mitigation -- Risk Monitoring -- Risk Remediation -- Compliance Risk Reporting -- Regulatory Dialogue -- Part Five: The Real World of Compliance in Financial Services -- Chapter 10: Real-Life Issues of Managing Compliance in Financial Services -- Myths vs. Reality -- Overlaps and Conflict Zones -- Some Important Distinctions -- Chapter 11: Lessons Not Learned -- Real-World Examples -- The Shifts -- Chapter 12: Practical Solutions to Some Important Operational Challenges -- Challenge: Building Business Integrity into Organization's Fabric -- Challenge: Building Compliance-Aware Organization (CAO) -- Challenge: Compliance Reach to All -- Challenge: Managing Regulatory Dialogue -- Closing Notes -- Regulatory Coherence -- Compliance Coherence -- Building a Learning Organization -- Index -- End User License Agreement.