Alexander Dill is Lecturer in the Financial Mathematics Program at the University of Chicago and Lecturer in Law at the UCLA School of Law. He is a recognized expert on the financial markets and the regulatory, risk management, and compliance frameworks that apply to them. He worked in the finance industry for nearly 30 years, first in private corporate law practice and subsequently at the US Securities and Exchange Commission and Moody's Investors Service.

List of figures

List of tables

List of abbreviations

Table of legal sources

Note about the author

Acknowledgments

Introduction

Part I Foundations

Chapter 1 The banking business model and rise of the financial conglomerate

Chapter 2 The bank regulatory framework and formation and conveyance of regulatory expectations

Chapter 3 Managing banks' risks through a corporate governance framework

Part II Primary areas of bank regulation and internal governance

Chapter 4 The role of risk management and compliance in micro-prudential capital regulation

Chapter 5 The role of risk management and compliance in micro-prudential oversight

Chapter 6 The role of corporate governance in macro-prudential regulation of systemic risk

Chapter 7 The capital solution to systemic risk: Risk management and compliance implications

Chapter 8 The structural solution to systemic risk: Risk management and compliance implications

Chapter 9 The role of risk management and compliance in consumer protection regulation

Chapter 10 The role of risk management and compliance in the payments system: AML/CFT regulation

Chapter 11 The future of bank regulation, risk management, and compliance

References

Index