Institutional Structure of Financial Regulation

Theories and International Experiences

Author: Robin Hui Huang,Dirk Schoenmaker

Publisher: Routledge

ISBN: 1317910648

Category: Business & Economics

Page: 262

View: 8420

In light of on-going global financial crises, the institutional structure of financial regulation is currently a subject of significant academic and practical interest. The financial crisis has called into question the adequacy of financial regulation at the national and supranational levels, and has instigated financial regulatory reforms in major markets overseas. This has included the enactment of the Dodd-Frank Act in the US, and the programme to split the Financial Services Authority in the UK. This book examines the institutional structure reform of financial regulation from a comparative perspective, exploring both fundamental theories and international experiences. The book explores the three main institutional structures of financial regulation in the world; the sectors-based model, adopted in the US, Mainland China and Hong Kong; the twin-peaks model with Australia and the Netherlands as its pioneers; and the single-regulator model as represented by the former Financial Services Authority in the UK and the Financial Services Agency in Japan. The book contains contributions from renowned experts in the field of financial regulation including Douglas Arner, Jeffrey Carmichael, Robin Hui Huang, Dirk Schoenmaker, and Michael Taylor, and will be of interest to students and researchers of banking and finance law, and comparative economics.

Mortgage Foreclosures

Documentation Problems Reveal Need for Ongoing Regulatory Oversight

Author: A. Nicole Clowers

Publisher: DIANE Publishing

ISBN: 1437985416

Category:

Page: 77

View: 4162

Mortgage servicers -- entities that manage home mortgage loans -- halted foreclosures throughout the country in September 2010, finding that documents required to be provided to courts in some states may have been improperly signed or notarized. In addition, academics and court cases are raising questions over whether foreclosures are being brought properly because of concerns over how loans were transferred into mortgage-backed securities. This report examined: (1) the extent to which federal laws address mortgage servicers' foreclosure procedures and federal agencies' past oversight; (2) federal agencies' current oversight and future oversight plans; and (3) the potential impact of these issues on involved parties. Illus. A print on demand report.

Annual Report

Author: Board of Governors of the Federal Reserve System (U.S.)

Publisher: N.A

ISBN: N.A

Category: Banks and banking

Page: N.A

View: 5466

Financial Regulation and Compliance

How to Manage Competing and Overlapping Regulatory Oversight

Author: H. David Kotz

Publisher: John Wiley & Sons

ISBN: 1118972228

Category: Business & Economics

Page: 256

View: 8693

Devise an organized, proactive approach to financialcompliance Financial Regulation and Compliance provides detailed,step-by-step guidance for the compliance professional seeking tomanage overlapping and new regulatory responsibilities. Written byDavid Kotz, former Inspector General of the SEC with additionalguidance provided by leading experts, this book is a one-stopresource for navigating the numerous regulations that have beenenacted in response to the financial crisis. You'll learn how bestto defend your organization from SEC, CFTC, FINRA, and NFAEnforcement actions, how to prepare for SEC, FINRA, and NFAregulatory examinations, how to manage the increasing volume ofwhistleblower complaints, how to efficiently and effectivelyinvestigate these complaints, and more. Detailed discussion of theregulatory process explains how aggressive you should be inconfronting federal agencies and self-regulatory organizations anddescribes how commenting on issues that affect your business areacan be productive or not. The companion website includes a glossaryof terms, regulations and government guidance, relevant case law,research databases, and FAQs about various topics, giving you acomplete solution for keeping abreast of evolving complianceissues. These days, compliance professionals are faced with a myriad ofoften overlapping regulatory challenges. Increased aggressivenesson the part of regulators has led to increased demand on financialfirms, but this book provides clear insight into navigating thechanges and building a more robust compliance function. Strengthen internal compliance and governance programs Manage whistleblower programs and conduct effectiveinvestigations Understand how to minimize exposure and liability fromEnforcement actions Learn how to prepare for the different types of regulatoryexaminations Minimize exposure from FCPA violations Understand the pros and cons of commenting on regulations The volume and pace of regulatory change is causing new anddiverse pressures on compliance professionals. Navigate the choppywaters successfully with the insider guidance in FinancialRegulation and Compliance.

Continued Oversight of the Implementation of the Wall Street Reform Act

Hearing Before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, First Session ... December 6, 2011

Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs

Publisher: N.A

ISBN: N.A

Category: Consumer protection

Page: 277

View: 2597

Oversight of Dodd-Frank Implementation

A Progress Report by the Regulators at the Half-year Mark : Hearing Before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, First Session ... February 17, 2011

Author: N.A

Publisher: N.A

ISBN: N.A

Category: Financial institutions

Page: 215

View: 7543

Federal Register

Author: N.A

Publisher: N.A

ISBN: N.A

Category: Delegated legislation

Page: N.A

View: 7430

Enhanced Oversight After the Financial Crisis

The Wall Street Reform Act at One Year : Hearing Before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, First Session ... July 21, 2011

Author: N.A

Publisher: N.A

ISBN: N.A

Category: Financial services industry

Page: 205

View: 4905

Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations for 2015

Hearings Before a Subcommittee of the Committee on Appropriations, House of Representatives, One Hundred Thirteenth Congress, Second Session

Author: United States. Congress. House. Committee on Appropriations. Subcommittee on Agriculture, Rural Development, Food and Drug Administration, and Related Agencies

Publisher: N.A

ISBN: N.A

Category: United States

Page: N.A

View: 3431

Financial Services and General Government Appropriations for 2016

Hearings Before a Subcommittee of the Committee on Appropriations, House of Representatives, One Hundred Fourteenth Congress, First Session

Author: United States. Congress. House. Committee on Appropriations. Subcommittee on Financial Services and General Government

Publisher: N.A

ISBN: N.A

Category: Administrative agencies

Page: N.A

View: 9202

Banks and Thrifts: Government Enforcement and Receivership

Author: Barry S. Zisman

Publisher: LexisNexis

ISBN: 1579119409

Category: Law

Page: 1540

View: 983

Banks and Thrifts: Government Enforcement and Receivership is the first and only comprehensive guide to practice in this expanding area of banking law. This publication untangles and synthesizes the complexity of enforcement and receivership law, with an emphasis on the role of the FDIC, and helps you to: • Evaluate claims • Choose the best course of conduct in each case, protect banks against regulatory violations • Proceed knowledgeably through informal enforcement proceedings • Defend or litigate with confidence • Guide financial institutions through the seizure process • Represent debtors and creditors First published in 1991. 1 volume; Updated annually.

Annual Report

Author: N.A

Publisher: N.A

ISBN: N.A

Category: Banks and banking

Page: N.A

View: 4985

Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations for 2014

Hearings Before a Subcommittee of the Committee on Appropriations, House of Representatives, One Hundred Thirteenth Congress, First Session

Author: United States. Congress. House. Committee on Appropriations. Subcommittee on Agriculture, Rural Development, Food and Drug Administration, and Related Agencies

Publisher: N.A

ISBN: N.A

Category: United States

Page: N.A

View: 8584

Dieses Mal ist alles anders

Acht Jahrhunderte Finanzkrisen

Author: Carmen Reinhart,Reinhart Carmen

Publisher: FinanzBuch Verlag

ISBN: 3862484386

Category: Political Science

Page: 592

View: 4270

Dieses Mal ist alles anders. Die derzeitige Krise ist überhaupt nicht vergleichbar mit vergangenen Situationen – darin sind sich die Experten einig, wann immer ein Wirtschaftssystem oder ein Staat zusammenbricht. Carmen Reinhart und Kenneth Rogoff haben die Crashs der letzten 800 Jahre analysiert. Ihr erstaunliches Ergebnis: In Wahrheit sind es doch immer die gleichen Fehler, die zum Kollaps geführt haben.

Das Ende der Weltwirtschaft und ihre Zukunft

Crisis Economics

Author: Nouriel Roubini,Stephen Mihm

Publisher: Campus Verlag

ISBN: 3593408309

Category: Social Science

Page: 470

View: 6847

Nouriel Roubini ist der neue Superstar der Ökonomie. Kein anderer Ökonom hat so frühzeitig und präzise vor der Wirtschaftskrise gewarnt wie er. Zunächst von Fachkollegen ungläubig bestaunt, haben sich seine Prognosen als äußerst treff - sicher erwiesen. In seinem Buch liefert er eine große und fundierte Analyse der Krise und beantwortet die wichtigsten Fragen, die Wirtschaft, Politik und Gesellschaft aktuell bewegen, wie: Wer ist schuld an der Krise, die Märkte oder der Staat? Was ist die Zukunft des Kapitalismus? Wie können wir das globale Wirtschaftssystem reformieren, um zukünftige Krisen zu verhindern? Roubini erklärt die globalen wirtschaftlichen Zusammenhänge ganz neu. Er schaut für uns in die Zukunft und sagt, wie die Weltwirtschaft aus der Krise herauskommen kann und draußen bleiben wird.

Geschichte der Französischen Revolution

Band 4: Der Aufstand der Vendée, Abfall des Generals Dumouriez, die Herrschaft des Schreckens, die Anarchie sowie die Schreckensherrschaft

Author: Jules Michelet

Publisher: BoD – Books on Demand

ISBN: 3863824660

Category:

Page: 542

View: 8281

Nachdruck des Originals von 1931 ber die Franz sische Revolution: Der Aufstand der Vend e, Abfall des Generals Dumouriez, die Herrschaft des Schreckens, die Anarchie sowie die Schreckensherrschaft.

Simple Rules

Einfache Regeln für komplexe Situationen

Author: Donald Sull,Kathleen Eisenhardt

Publisher: Ullstein eBooks

ISBN: 384371150X

Category: Psychology

Page: 336

View: 8967

Geld, Gesundheit, Partnersuche oder der eigene Betrieb: Manche Probleme und Handlungsoptionen wachsen einem leicht über den Kopf. Nun ist erstmals wissenschaftlich erwiesen: Mit einfachen Regeln kann man die meisten noch so komplexen Probleme effizient angehen und erfolgreich lösen – vom individuellen Diätplan bis zu unternehmerischen Weichenstellungen. Die Wirtschaftsprofessoren Donald Sull und Kathleen M. Eisenhardt zeigen, wie wir uns bei der Entscheidungsfindung an wenige wirklich wichtige Kriterien halten können.

Das Geld der Medici

Author: Tim Parks

Publisher: Antje Kunstmann

ISBN: 3888978351

Category: Biography & Autobiography

Page: 271

View: 6500

Die Medici umgibt bis heute der Mythos einer Dynastie unermesslich reicher und kunstsinniger Herrscher, die das moderne Bankwesen erfanden und ihre Heimatstadt Florenz mit den schönsten Werken der Renaissance schmückten. Tatsächlich brauchte man im Florenz des 15. Jahrhunderts mehr als finanzielles Geschick, um sich an der Macht zu halten: Geld gegen Zins zu verleihen, galt der Kirche als Wucher. Die Macht der Medici stand auf schwankendem Boden, wie Tim Parks zeigt. Die Bank, 1397 gegründet, brach bereits 1494 zusammen. Knapp 100 Jahre, die unser Verständnis der Beziehung zwischen Hochkultur und Kreditwesen sowie von der Verquickung von Religion und Politik entscheidend prägen sollten.

Die Unfehlbaren

Wie Banker und Politiker nach der Lehman-Pleite darum kämpften, das Finanzsystem zu retten - und sich selbst

Author: Andrew Ross Sorkin

Publisher: N.A

ISBN: 9783442102396

Category:

Page: 621

View: 3776