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Le condizioni di efficienza per l'attività di compliance nelle banche: l'importanza dell'autonomia e dell'indipendenza

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  • Adalberto ALBERICI

    ()

Abstract

Compliance is an opportunity that both Authorities and Banks must develop and exploit in order for them to respectively consolidate their own role and their position in the market. It’s the responsibility of the top management (board of directors) to structure, manage and monitorize the activity of Compliance, breaking any cause that might allow behaviour of opportunism in the management or any clash of interests.

Suggested Citation

  • Adalberto ALBERICI, 2009. "Le condizioni di efficienza per l'attività di compliance nelle banche: l'importanza dell'autonomia e dell'indipendenza," Departmental Working Papers 2009-07, Department of Economics, Management and Quantitative Methods at Università degli Studi di Milano.
  • Handle: RePEc:mil:wpdepa:2009-07
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    File URL: http://wp.demm.unimi.it/files/wp/2009/DEMM-2009_007wp.pdf
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    Keywords

    Mifid; compliance; authorities; governance;

    JEL classification:

    • G21 - Financial Economics - - Financial Institutions and Services - - - Banks; Other Depository Institutions; Micro Finance Institutions; Mortgages
    • G34 - Financial Economics - - Corporate Finance and Governance - - - Mergers; Acquisitions; Restructuring; Corporate Governance
    • G38 - Financial Economics - - Corporate Finance and Governance - - - Government Policy and Regulation
    • K4 - Law and Economics - - Legal Procedure, the Legal System, and Illegal Behavior
    • M14 - Business Administration and Business Economics; Marketing; Accounting; Personnel Economics - - Business Administration - - - Corporate Culture; Diversity; Social Responsibility

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