Bibliographic citations
Rodríguez, A., (2024). Aplicación del Soft Law en la implementación del Sistema de Gestión de Compliance de una entidad bancaria [Pontificia Universidad Católica del Perú]. http://hdl.handle.net/20.500.12404/29294
Rodríguez, A., Aplicación del Soft Law en la implementación del Sistema de Gestión de Compliance de una entidad bancaria []. PE: Pontificia Universidad Católica del Perú; 2024. http://hdl.handle.net/20.500.12404/29294
@mastersthesis{renati/1666932,
title = "Aplicación del Soft Law en la implementación del Sistema de Gestión de Compliance de una entidad bancaria",
author = "Rodríguez Luján, Alejandra Arlet",
publisher = "Pontificia Universidad Católica del Perú",
year = "2024"
}
In our regulatory context, although the term compliance is relatively recent, some current regulations have implicitly incorporated it, because the legislative trends in the international financial sector are oriented to implement international standards of good practices in the development of financial activity. However, the implementation of an effective Compliance Management System (CMS) in the financial sector should not only incorporate current regulations, but also soft law standards such as ISO 31 000 Risk Management, ISO 37 001 Anti-Bribery Management Systems and ISO 37301 Compliance Management Systems, because the peruvian financial system currently transcends borders. The relevance of the proposal lies in the fact that implementing a CMS in an entity of the peruvian financial system contributes to increase its value, at the same time that it seeks to mitigate the economic and reputational impact produced by the risks of non-compliance, such as financial losses derived from internal frauds, increased expenses due to the imposition of sanctions, economic losses due to the decrease in the value of the stock exchange and even a forced exit from the market. For the above reasons, this paper contrasted the components proposed by current regulations and soft law standards for implementing CMS and applied them to a specific case of analysis: the financial crisis of the Credit Suisse bank. Finally, a proposal was formulated for the minimum components necessary to implement an effective CMS in a Peruvian financial system bank.
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