compliance Questions in investment bank in saudi arabia.
Question 1 (600 word) Define what a good compliance culture is and illustrate its links to ethics and integrity within a firm regulated in a sector of your choice. Discuss why establishing a good compliance culture is important, who has responsibility for doing so and how they might achieve this, providing appropriate examples to support your views. Question 2 (700 word) Is regulation necessary? If we removed all regulations and left market participants to operate freely, would the outcome really be any more problematic than it is currently? Consider the above questions and compose a balanced response to them, establishing whether you believe that regulation is – or is not – necessary, and supporting your views with appropriate examples. kindly consider that the regulator of the investment bank in saudi arabia is the capital market authority CMA.