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MGMT20144-Corporate Governance And The Regulatory Environment 

tag 0 Download 18 Pages / 4,438 Words tag 21-03-2020


1.Describe the key elements of the assessment made by the regulator of a sector of your choice prior to a firm being authorised by them. Within this, explain the purpose and methodology of this assessment, make clear the relevance of this for the firm and provide examples to illustrate the approach adopted. (10 marks)
2.With reference to a firm regulated in a sector of your choice, provide, as if to an individual with no experience of governance, risk and compliance (GRC) matters, an explanation of:
• what corporate governance is,
• its purpose in supporting an effective business environment within a regulated firm, and
• how effective corporate governance achieves this. Provide appropriate examples to illustrate your explanation. 
3.Evaluate the existing regulatory structural model in a regulated sector of your choice. Discuss how and why you believe this existing model either is, or is not, sufficiently robust to meet the regulatory challenges posed in your chosen jurisdiction and sector and the needs of the many stakeholders within these. Provide appropriate examples to support your views. 
4.Reducing systemic risk is one of a number of common regulatory objectives. Assess, through the use of relevant examples or illustrations, what impact failings in this regulatory objective could have on achievement of the other common regulatory objectives and on the regulatory environment overall if these failings were found to be widespread. International Diploma in Governance, Risk and Compliance – Assignment One – 11 March 2019 3 ICAA413/10473
5.Discuss the role of ethics in compliance and consider how ethics and morals could be viewed as a regulatory requirement within regulated firms, whilst highlighting the difficulties that evidencing this might present. Demonstrate how a focus on these elements can positively shape corporate culture, and comment upon the role played by recent regulatory initiatives in achieving more ethical behaviour in the industry.
6.The volume and pace of regulatory change is often cited as a particular challenge for GRC activities within regulated firms. Reflect on this observation and, with reference to a range of illustrative examples:
• describe how recent and planned regulatory developments are impacting, or have the potential to impact, upon regulatory activities in a jurisdiction and regulated sector of your choice
• evaluate the relevance of these developments for GRC activities within a regulated firm in that sector and show how these impacts might be managed. (20 marks)
7.Even a single individual's’ actions can have a significant impact upon the reputation of the particular firm in which they are employed, and on the sector and jurisdiction in which that firm is regulated. Discuss the views expressed in the above statement, with particular reference to individuals who work within GRC roles within a regulated firm and sector of your choice. Provide appropriate examples in support of this.
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Total 18 pages

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