Vor Ort
Merkzettel Warenkorb

Gutscheinbedingungen

Gültig bis 25.05.2025 | Gültig für Spielwaren, Filme, Musik, Software, Games, Schreibwaren, Geschenke & Trends, Elektronik, Hörbücher und Hörbuch-Downloads (außer Abo), nicht preisgebundene Bücher und Kalender | Online auf thalia.de und in der Thalia App einlösbar | Click & Collect nur mit Online-Zahlung (Paypal/Kreditkarte) vorab | Nicht kombinierbar mit anderen Gutscheinen oder Preisaktionen | Nur einmal pro Einkauf einlösbar | Gutschein wird auf max. 500€ Bestellwert angerechnet | Keine Barauszahlung | Digitale Hörbücher nur für Android | Nicht gültig für preisgebundene Artikel (aufgrund der Buchpreisbindung sind Gutscheine nicht auf Bücher, gebrauchte Bücher, eBooks, Presse einlösbar), tolino eReader & Zubehör, Abonnements & Flatrates, Geschenkkarten, Versandkosten und Services
  • Produktbild: Financial Regulation and Compliance
  • Produktbild: Financial Regulation and Compliance

Financial Regulation and Compliance How to Manage Competing and Overlapping Regulatory Oversight. + Website

Aus der Reihe Wiley Finance Series

73,99 €

inkl. MwSt, Versandkostenfrei

Beschreibung

Details

Einband

Gebundene Ausgabe

Erscheinungsdatum

03.08.2015

Verlag

John Wiley & Sons Inc

Seitenzahl

256

Maße (L/B/H)

23,5/15,7/1,8 cm

Gewicht

452 g

Auflage

1. Auflage

Sprache

Englisch

ISBN

978-1-118-97221-2

Beschreibung

Details

Einband

Gebundene Ausgabe

Erscheinungsdatum

03.08.2015

Verlag

John Wiley & Sons Inc

Seitenzahl

256

Maße (L/B/H)

23,5/15,7/1,8 cm

Gewicht

452 g

Auflage

1. Auflage

Sprache

Englisch

ISBN

978-1-118-97221-2

Herstelleradresse

Produktsicherheitsverantwortliche/r
Europaallee 1
36244 Bad Hersfeld
DE

Email: gpsr@libri.de

Weitere Bände von Wiley Finance Series

Unsere Kundinnen und Kunden meinen

0.0

0 Bewertungen

Informationen zu Bewertungen

Zur Abgabe einer Bewertung ist eine Anmeldung im Konto notwendig. Die Authentizität der Bewertungen wird von uns nicht überprüft. Wir behalten uns vor, Bewertungstexte, die unseren Richtlinien widersprechen, entsprechend zu kürzen oder zu löschen.

Verfassen Sie die erste Bewertung zu diesem Artikel

Helfen Sie anderen Kund*innen durch Ihre Meinung

Erste Bewertung verfassen

Unsere Kundinnen und Kunden meinen

0.0

0 Bewertungen filtern
Die Leseprobe wird geladen.
  • Produktbild: Financial Regulation and Compliance
  • Produktbild: Financial Regulation and Compliance
  • Foreword xiii

    Preface xvii

    Acknowledgments xxiii

    About the Author xxv

    CHAPTER 1 Jurisdiction of Regulators - Who Regulates Whom and What 1

    1.1 Federal Financial Regulatory Structure 2

    1.2 The Securities and Exchange Commission (SEC) 3

    1.3 The Financial Industry Regulatory Authority (FINRA) 6

    1.4 The Commodity Futures Trading Commission (CFTC) 8

    1.5 The National Futures Association (NFA) 10

    1.6 The Department of Justice (DOJ) 12

    1.7 Recent Regulatory Failures to Uncover Fraud 14

    1.8 Expert Advice on Overlapping Regulations 19

    CHAPTER 2 How to Strengthen Governance and Compliance in Light of New Regulations 23

    2.1 Dodd-Frank Act's Impact on Governance and Compliance 25

    2.2 Managing Executive Compensation 29

    2.3 Creating Effective Policies and Procedures 30

    2.4 Ensuring Accountability within an Organization 32

    2.5 Red Flags of an Unethical Culture 33

    2.6 Ethical Decision-Making 34

    CHAPTER 3 How to Manage Whistleblowers' Complaints 37

    3.1 Oversight and Failures of the SEC's Whistleblower Program 37

    3.2 The Dodd-Frank Act's Restructuring of the SEC's Whistleblower Program 41

    3.3 Whistleblower Complaints to the SEC since the Restructuring of Its Program 43

    3.4 The CFTC's New Whistleblower Program 45

    3.5 Significant U.S. Supreme Court Decision on Whistleblower Complaints 46

    3.6 Managing Complaints Brought to Internal Compliance Officials 47

    3.7 Putting Appropriate Whistleblower Policies and Procedures in Place 51

    3.8 Effect of the SEC and CFTC's New Whistleblower Programs 52

    CHAPTER 4 How to Defend SEC Examinations 55

    4.1 SEC Authority to Conduct Examinations 55

    4.2 SEC's Office of Compliance Inspections and Examinations (OCIE) 57

    4.3 Types of SEC OCIE Exams 57

    4.4 Preparation for the Exams 58

    4.5 Process of Examinations 60

    4.6 How the SEC Exam Concludes 65

    4.7 SEC OCIE Examination Trends 66

    4.8 Not Underestimating the SEC Examiners 67

    CHAPTER 5 How to Defend FINRA Examinations 69

    5.1 FINRA Qualification Standards and Rules and Regulations 70

    5.2 FINRA's Risk-Based Approach 71

    5.3 FINRA's Regulatory and Examination Priorities 71

    5.4 Differences between FINRA and SEC Exams 78

    5.5 Types of FINRA Exams 79

    5.6 Conduct of FINRA Exams 80

    5.7 How the FINRA Exam Concludes 83

    5.8 Educating the FINRA Examiners 84

    CHAPTER 6 How to Defend an NFA Examination 87

    6.1 Types of Entities under the Jurisdiction of the NFA 87

    6.2 Impact of the Dodd-Frank Act 90

    6.3 NFA Examination Process 90

    6.4 Preparing for an NFA Exam 92

    6.5 Length and Conduct of the NFA Exam 93

    6.6 How the NFA Exam Concludes 95

    6.7 CFTC Examinations 96

    6.8 Focusing on Strict Compliance with the Regulations 97

    CHAPTER 7 How to Defend SEC Enforcement Actions 99

    7.1 SEC's Law Enforcement Function 99

    7.2 How SEC Enforcement Actions are Triggered 101

    7.3 Commencement of an SEC Enforcement Action 102

    7.4 Converting the Inquiry to a Formal Investigation 103

    7.5 Discovery Conducted by the SEC 104

    7.6 The SEC Enforcement's "Wells" Process 105

    7.7 Use of Experts in SEC Enforcement Proceedings 108

    7.8 Settlement Discussions 109

    7.9 Trends in SEC Enforcement 110

    7.10 Minimizing Exposure in an SEC Enforcement Case 114

    CHAPTER 8 How to Defend FINRA Enforcement Actions 115

    8.1 FINRA Disciplinary Actions 116

    8.2 FINRA Enforcement Process 123

    8.3 FINRA's Formal Proceeding 125

    8.4 Challenges of FINRA Enforcement Process 125

    8.5 Conduct of the FINRA Hearing 126

    8.6 Settlement Possibilities 128

    8.7 Disciplinary Sanctions Available to FINRA 128

    8.8 Right to Appeal Decision of Hearing Panel 129

    8.9 Recent Trends in FINRA Enforcement 129

    8.10 Mounting an Aggressive Defense 130

    CHAPTER 9 How to Defend CFTC Enforcement Actions 131

    9.1 Increased Aggressiveness on the Part of CFTC Enforcement 131

    9.2 Types of Enforcement Actions Brought by the CFTC 133

    9.3 Triggers for CFTC Enforcement Actions 137

    9.4 CFTC Enforcement Process 137

    9.5 Differences between CFTC and SEC Enforcement Proceedings 138

    9.6 The CFTC "Wells" Process 139

    9.7 CFTC Enforcement's Use of Experts 140

    9.8 Settlement Discussions 141

    9.9 CFTC Enforcement's Use of Administrative Proceedings 142

    9.10 Trends in CFTC Enforcement 142

    9.11 Flawed Assumptions about CFTC Enforcement Process 143

    9.12 Strategies for CFTC Enforcement Cases 144

    CHAPTER 10 How to Defend NFA Enforcement Actions 147

    10.1 NFA Disciplinary Actions 147

    10.2 How Complaints are Triggered 148

    10.3 Investigative Process 149

    10.4 Settlement 150

    10.5 The Hearing Panel and Hearing Committee 151

    10.6 Conduct of the Hearing 152

    10.7 Written Decision after the Hearing 153

    10.8 Appeal of an Adverse Decision 153

    10.9 The MRA Procedure 154

    10.10 Types of Penalties Assessed by the NFA 155

    10.11 Number and Types of Disciplinary Actions 156

    10.12 Trends in NFA Enforcement 159

    10.13 Preparing a Defense 159

    CHAPTER 11 How to Participate in the Regulatory Comment Process 161

    11.1 Dodd-Frank Rulemaking 161

    11.2 SEC Rulemaking Process 162

    11.3 Candidates for Comments 163

    11.4 Role of Trade Association in Comment Process 163

    11.5 Content of the Comment Letter 165

    11.6 Approaches to an Effective Comment Letter 168

    11.7 Significance of the Economic Impact of Proposed Regulations 168

    11.8 Requesting Meetings with Agency Officials 170

    11.9 Submitting Comments after the Deadline 171

    11.10 Learning about Rulemakings 171

    11.11 Assistance from Outside Counsel 172

    CHAPTER 12 How to Defend FCPA Claims 173

    12.1 FCPA Provisions 173

    12.2 FCPA Enforcement Authority 174

    12.3 Violations of the FCPA 175

    12.4 Penalties for Violating the FCPA 176

    12.5 FCPA Exemptions 176

    12.6 DOJ/SEC Guidance 177

    12.7 The U.K. Bribery Act 179

    12.8 Devising Effective Compliance Programs 180

    12.9 Training on Compliance Standards 181

    12.10 Achieving a Culture of Compliance 181

    12.11 Risk-based Due Diligence and Monitoring 182

    12.12 Conducting FCPA Compliance Assessments 183

    12.13 Importance of Risk Assessment 184

    12.14 Management of Third Parties 185

    12.15 Conducting Due Diligence on Acquisition Targets 187

    12.16 The Triggers for an FCPA Enforcement Action 188

    12.17 Self-disclosing Violations 189

    12.18 Reducing Exposure 190

    CHAPTER 13 How to Conduct Internal Investigations 191

    13.1 Limiting Exposure through Effective Internal Investigations 191

    13.2 Lessons Learned from High-Profile Investigations 192

    13.3 Commencing the Internal Investigation 193

    13.4 Retaining an Outside Investigator 194

    13.5 Initial Steps of Investigation Process 195

    13.6 Methods of Obtaining Information 195

    13.7 Collecting Documents 196

    13.8 Strategies for Conducting Interviews 197

    13.9 Briefing Management during an Investigation 200

    13.10 Drafting the Investigative Report 201

    13.11 Incorporating Recommendations for Improvement 201

    13.12 Protecting Files Associated with Internal Investigation 202

    13.13 Retaining the Investigative Report 204

    CHAPTER 14 Conclusion 205

    14.1 Overlapping Jurisdictions after the Dodd-Frank Act 206

    14.2 Regulatory Failures Post-Financial Crisis 209

    14.3 Improving of Coordination between Regulatory Agencies 210

    14.4 Understanding the Regulatory Climate 212

    About the Website 215

    Index 217