Dodd-Frank Act

Agencies' Efforts to Analyze and Coordinate Their Rules : Report to Congressional Addressees

Author: A. Nicole Clowers

Publisher:

ISBN:

Category: Administrative agencies

Page: 119

View: 429

Institutional Structure of Financial Regulation

Theories and International Experiences

Author: Robin Hui Huang

Publisher: Routledge

ISBN:

Category: Business & Economics

Page: 262

View: 515

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.

Financial Regulation and Compliance

How to Manage Competing and Overlapping Regulatory Oversight

Author: H. David Kotz

Publisher: John Wiley & Sons

ISBN:

Category: Business & Economics

Page: 256

View: 231

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.

Annual Report

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

Publisher:

ISBN:

Category: Banks and banking

Page:

View: 982

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:

ISBN:

Category: Consumer protection

Page: 277

View: 300

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:

Publisher:

ISBN:

Category: Financial institutions

Page: 215

View: 376

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:

ISBN:

Category: United States

Page:

View: 189

Financial Services and General Government 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 Financial Services and General Government

Publisher:

ISBN:

Category: Administrative agencies

Page:

View: 422

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:

Publisher:

ISBN:

Category: Financial services industry

Page: 205

View: 534