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SEC and CFTC penalities continued progress made in collection efforts, but greater SEC management attention is needed : report to congressional requesters.

SEC and CFTC penalities continued progress made in collection efforts, but greater SEC management attention is needed : report to congressional requesters. PDF Author:
Publisher: DIANE Publishing
ISBN: 142893409X
Category :
Languages : en
Pages : 52

Book Description

SEC and CFTC penalities continued progress made in collection efforts, but greater SEC management attention is needed : report to congressional requesters.

SEC and CFTC penalities continued progress made in collection efforts, but greater SEC management attention is needed : report to congressional requesters. PDF Author:
Publisher: DIANE Publishing
ISBN: 142893409X
Category :
Languages : en
Pages : 52

Book Description

SEC and CFTC Penalties

SEC and CFTC Penalties PDF Author: Richard J. Hillman
Publisher: DIANE Publishing
ISBN: 9781422304402
Category : Business & Economics
Languages : en
Pages : 50

Book Description
The SEC & Commodity Futures Trading Comm. (CFTC) impose penalties, disgorgements, & restitution on proven & alleged violators of the securities & futures laws, respectively. The GAO has issued a number of previous reports on agency collection efforts & made numerous recommendations for improvement. This report follows up on open issues from the previous reports &: (1) discusses SEC's progress in improving its tracking of penalty & disgorgement collection data; (2) assesses the steps SEC has taken to improve collection program management; (3) evaluates SEC's implementation of the Fair Fund provision in the Sarbanes-Oxley Act of 2002; & (4) describes CFTC's actions to address previous recommendations. Charts & tables.

The Securities Enforcement Manual

The Securities Enforcement Manual PDF Author: Nicole A. Baker
Publisher: American Bar Association
ISBN: 9781590317297
Category : Business & Economics
Languages : en
Pages : 774

Book Description
This new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions.

Futures Trading Act of 1982

Futures Trading Act of 1982 PDF Author:
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 204

Book Description

Gao-05-670 Sec and Cftc Penalties

Gao-05-670 Sec and Cftc Penalties PDF Author: United States Government Accountability Office
Publisher: Createspace Independent Publishing Platform
ISBN: 9781984332660
Category :
Languages : en
Pages : 52

Book Description
GAO-05-670 SEC and CFTC Penalties: Continued Progress Made in Collection Efforts, but Greater SEC Management Attention Is Needed

American Power after the Financial Crisis

American Power after the Financial Crisis PDF Author: Jonathan Kirshner
Publisher: Cornell University Press
ISBN: 0801454786
Category : Political Science
Languages : en
Pages : 201

Book Description
The global financial crisis of 2007–2008 was both an economic catastrophe and a watershed event in world politics. In American Power after the Financial Crisis, Jonathan Kirshner explains how the crisis altered the international balance of power, affecting the patterns and pulse of world politics. The crisis, Kirshner argues, brought about an end to what he identifies as the "second postwar American order" because it undermined the legitimacy of the economic ideas that underpinned that order—especially those that encouraged and even insisted upon uninhibited financial deregulation. The crisis also accelerated two existing trends: the relative erosion of the power and political influence of the United States and the increased political influence of other states, most notably, but not exclusively, China.Looking ahead, Kirshner anticipates a "New Heterogeneity" in thinking about how best to manage domestic and international money and finance. These divergences—such as varying assessments of and reactions to newly visible vulnerabilities in the American economy and changing attitudes about the long-term appeal of the dollar—will offer a bold challenge to the United States and its essentially unchanged disposition toward financial policy and regulation. This New Heterogeneity will contribute to greater discord among nations about how best to manage the global economy. A provocative look at how the 2007–2008 economic collapse diminished U.S. dominance in world politics, American Power after the Financial Crisis suggests that the most significant and lasting impact of the crisis and the Great Recession will be the inability of the United States to enforce its political and economic priorities on an increasingly recalcitrant world.

Financial Technology

Financial Technology PDF Author: United States Government Accountability Office
Publisher: Createspace Independent Publishing Platform
ISBN: 9781982009700
Category :
Languages : en
Pages : 72

Book Description
FINANCIAL TECHNOLOGY: Information on Subsectors and Regulatory Oversight

Using IBM Enterprise Records

Using IBM Enterprise Records PDF Author: Whei-Jen Chen
Publisher: IBM Redbooks
ISBN: 073844071X
Category : Computers
Languages : en
Pages : 440

Book Description
Records management helps users address evolving governance mandates to meet regulatory, legal, and fiduciary requirements. Proactive adherence to information retention policies and procedures is a critical facet of any compliance strategy. IBM® Enterprise Records helps organizations enforce centralized policy management for file plans, retention schedules, legal preservation holds, and auditing. IBM Enterprise Records enables your organization to securely capture, declare, classify, store, and dispose of electronic and physical records. In this IBM Redbooks® publication, we introduce the records management concept and provide an overview of IBM Enterprise Records. We address records management topics, including the retention schedule, file plan, records ingestion and declaration, records disposition, records hold, and Enterprise Records application programming interfaces (APIs). We also use a case study to describe step-by-step instructions to implement a sample records management solution using Enterprise Records. We provide concrete examples of how to perform tasks, such as file plan creation, records ingestion and declaration, records disposition, and records hold. This book helps you to understand the records management concept, the IBM Enterprise Records features and capabilities, and its use.

Insider Trading Sanctions Act of 1984

Insider Trading Sanctions Act of 1984 PDF Author: United States
Publisher:
ISBN:
Category : Insider trading in securities
Languages : en
Pages : 2

Book Description

Activities of the Committee on Homeland Security and Governmental Affairs

Activities of the Committee on Homeland Security and Governmental Affairs PDF Author: United States. Congress. Senate. Committee on Homeland Security and Governmental Affairs
Publisher:
ISBN:
Category : Constitutional law
Languages : en
Pages : 176

Book Description

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