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Potential Conflicts Of Interest At The Sec
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Author :American Bar Association. House of Delegates Publisher :American Bar Association ISBN 13 :9781590318737 Total Pages :216 pages Book Rating :4.3/5 (187 download)
Book Synopsis Model Rules of Professional Conduct by : American Bar Association. House of Delegates
Download or read book Model Rules of Professional Conduct written by American Bar Association. House of Delegates and published by American Bar Association. This book was released on 2007 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Book Synopsis Investment Company Act Release by : United States. Securities and Exchange Commission
Download or read book Investment Company Act Release written by United States. Securities and Exchange Commission and published by . This book was released on 1970 with total page 1004 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States. Congress. House. Committee on the Judiciary. Subcommittee No. 5 Publisher : ISBN 13 : Total Pages :898 pages Book Rating :4.:/5 (319 download)
Book Synopsis Federal Conflict of Interest Legislation by : United States. Congress. House. Committee on the Judiciary. Subcommittee No. 5
Download or read book Federal Conflict of Interest Legislation written by United States. Congress. House. Committee on the Judiciary. Subcommittee No. 5 and published by . This book was released on 1960 with total page 898 pages. Available in PDF, EPUB and Kindle. Book excerpt: Committee Serial No. 17. [pt.1]: Considers the following related bills. H.R. 1900 and identical H.R. 2156, to strengthen the criminal laws relating to bribery, graft, and conflict of interest in the Federal Government. H.R. 2157, the Government Ethics Act of 1959, to provide for administrative penalties, such as suspension or discharge, for Federal employees who engage in unethical conduct. H.R. 7556, to prohibit a company doing business with the Federal Government from hiring any Federal employee with which that company dealt within two years following the termination of his Federal employment. H.R. 10575, to consolidate the existing conflict of interest laws into one unified Act, with a common set of definitions and criminal penalties. pt. 2: Includes Justice Dept Office of Legal Counsel memorandum "Conflict of Interest Statutes," Dec. 10, 1958 (p. 619-755).
Book Synopsis Securities Activities of Commercial Banks by : Arnold W. Sametz
Download or read book Securities Activities of Commercial Banks written by Arnold W. Sametz and published by Free Press. This book was released on 1981 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Conflict of Interest in Global, Public and Corporate Governance by : Anne Peters
Download or read book Conflict of Interest in Global, Public and Corporate Governance written by Anne Peters and published by Cambridge University Press. This book was released on 2012-11-29 with total page 489 pages. Available in PDF, EPUB and Kindle. Book excerpt: Conflict of interest occurs at all levels of governance, ranging from local to global, both in the public and the corporate and financial spheres. There is increasing awareness that conflicts of interest may distort decision-making processes and generate inappropriate outcomes, thereby undermining the functioning of public institutions and markets. However, the current worldwide trend towards regulation, which seeks to forestall, prevent and manage conflicts of interest, has its price. Drawbacks may include the stifling of decision-making processes, the loss of expertise among decision-makers and a vicious circle of distrust. This interdisciplinary and international book addresses specific situations of conflict of interest in different spheres of governance, particularly in global, public and corporate governance.
Book Synopsis Capital Ideas Evolving by : Peter L. Bernstein
Download or read book Capital Ideas Evolving written by Peter L. Bernstein and published by Wiley + ORM. This book was released on 2011-01-31 with total page 370 pages. Available in PDF, EPUB and Kindle. Book excerpt: "A lot has happened in the financial markets since 1992, when Peter Bernstein wrote his seminal Capital Ideas. Happily, Peter has taken up his facile pen again to describe these changes, a virtual revolution in the practice of investing that relies heavily on complex mathematics, derivatives, hedging, and hyperactive trading. This fine and eminently readable book is unlikely to be surpassed as the definitive chronicle of a truly historic era." John C. Bogle, founder of The Vanguard Group and author, The Little Book of Common Sense Investing "Just as Dante could not have understood or survived the perils of the Inferno without Virgil to guide him, investors today need Peter Bernstein to help find their way across dark and shifting ground. No one alive understands Wall Street's intellectual history better, and that makes Bernstein our best and wisest guide to the future. He is the only person who could have written this book; thank goodness he did." Jason Zweig, Investing Columnist, Money magazine "Another must-read from Peter Bernstein! This well-written and thought-provoking book provides valuable insights on how key finance theories have evolved from their ivory tower formulation to profitable application by portfolio managers. This book will certainly be read with keen interest by, and undoubtedly influence, a wide range of participants in international finance." Dr. Mohamed A. El-Erian, President and CEO of Harvard Management Company, Deputy Treasurer of Harvard University, and member of the faculty of the Harvard Business School "Reading Capital Ideas Evolving is an experience not to be missed. Peter Bernstein's knowledge of the principal characters-the giants in the development of investment theory and practice-brings this subject to life." Linda B. Strumpf, Vice President and Chief Investment Officer, The Ford Foundation "With great clarity, Peter Bernstein introduces us to the insights of investment giants, and explains how they transformed financial theory into portfolio practice. This is not just a tale of money and models; it is a fascinating and contemporary story about people and the power of their ideas." Elroy Dimson, BGI Professor of Investment Management, London Business School "Capital Ideas Evolving provides us with a unique appreciation for the pervasive impact that the theory of modern finance has had on the development of our capital markets. Peter Bernstein once again has produced a masterpiece that is must reading for practitioners, educators and students of finance." Andr F. Perold, Professor of Finance, Harvard Business School
Book Synopsis Federal Conflict of Interest Legislation by : United States. Congress. House. Committee on the Judiciary
Download or read book Federal Conflict of Interest Legislation written by United States. Congress. House. Committee on the Judiciary and published by . This book was released on 1960 with total page 170 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Managing Conflict of Interest in the Public Sector by : Howard Whitton
Download or read book Managing Conflict of Interest in the Public Sector written by Howard Whitton and published by Org. for Economic Cooperation & Development. This book was released on 2005 with total page 120 pages. Available in PDF, EPUB and Kindle. Book excerpt: Conflicts of interest in both the public and private sectors have become a major matter of public concern world-wide. The OECD Guidelines define a conflict of interest as occurring when a public official has private-capacity interests which could improperly influence the performance of their official duties and responsibilities. However, identifying a specific conflict of interest in practice can be difficult. And resolving the conflicting interests appropriately in a particular case is something that most people find even more challenging. The Toolkit focuses on specific techniques, resources and strategies for: Identifying, managing and preventing conflict-of-interest situations more effectively; and Increasing integrity in official decision-making, which might be compromised by a conflict of interest. This Toolkit provides non-technical, practical help to enable officials to recognise problematic situations and help them to ensure that integrity and reputation are not compromised. The tools themselves are provided in generic form. They are based on examples of sound conflict-of-interest policy and practice drawn from various OECD member and non-member countries. They have been designed for adaptation to suit countries with different legal and administrative systems. FURTHER READING: Managing Conflict of Interest in the Public Service: OECD Guidelines and Country Experiences
Book Synopsis The Seven Signs of Ethical Collapse by : Marianne M. Jennings
Download or read book The Seven Signs of Ethical Collapse written by Marianne M. Jennings and published by St. Martin's Press. This book was released on 2006-08-22 with total page 552 pages. Available in PDF, EPUB and Kindle. Book excerpt: Do you want to make sure you · Don't invest your money in the next Enron? · Don't go to work for the next WorldCom right before the crash? · Identify and solve problems in your organization before they send it crashing to the ground? Marianne Jennings has spent a lifetime studying business ethics---and ethical failures. In demand nationwide as a speaker and analyst on business ethics, she takes her decades of findings and shows us in The Seven Signs of Ethical Collapse the reasons that companies and nonprofits undergo ethical collapse, including: · Pressure to maintain numbers · Fear and silence · Young 'uns and a larger-than-life CEO · A weak board · Conflicts · Innovation like no other · Belief that goodness in some areas atones for wrongdoing in others Don't watch the next accounting disaster take your hard-earned savings, or accept the perfect job only to find out your boss is cooking the books. If you're just interested in understanding the (not-so) ethical underpinnings of business today, The Seven Signs of Ethical Collapse is both a must-have tool and a fascinating window into today's business world.
Book Synopsis SEC Docket by : United States. Securities and Exchange Commission
Download or read book SEC Docket written by United States. Securities and Exchange Commission and published by . This book was released on 1997 with total page 1220 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Conflicts of Interest by : United States. Congress. Senate. Judiciary
Download or read book Conflicts of Interest written by United States. Congress. Senate. Judiciary and published by . This book was released on 1962 with total page 110 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Conflicts of Interest in the Financial Services Industry by : Andrew Crockett
Download or read book Conflicts of Interest in the Financial Services Industry written by Andrew Crockett and published by Centre for Economic Policy Research. This book was released on 2003 with total page 144 pages. Available in PDF, EPUB and Kindle. Book excerpt: The fifth report in this series focuses on conflicts of interest that arise when a firm combines multiple lines of business, creating multiple interests. Conflicts between research and underwriting in investment banking and between auditing and consulting in accounting firms are investigated, as are the problems that arise from rating agencies providing consulting services and from universal banks combining commercial and investment banking. In the recent stock market collapse, confidence in the financial industry was shaken by numerous scandals. Beginning with Enron in 2001, scandals brought about the demise of prominent financial figures, damaged the reputation of premiere firms and destroyed the global accounting giant Arthur Andersen. Central to this crisis was the exploitation of conflicts of interest. Research analysts at investment banks were found to be distorting information at the behest of underwriting departments eager to promote new issues. Auditors appeared to sanction misleading accounting in order to gain business for the consulting side of their firms. Policy response in the United States was quick. Large fines were levied and regulators compelled the separation of financial security function, constraining financial conglomerates. But are these new regulations and safeguards adequate protection? What costs do they impose on the industry? This fifth title in the ICMP/CEPR series of Geneva Reports on the World Economy examines the problem of conflicts of interest in the financial system. Conflicts of interest lead to a decrease in information that makes it harder for the system to provide savers wit the accurate, essential information that induces them to provide credit to borrowers. This study focuses on conflicts of interest that arise when a firm combines multiple lines of business, creating multiple interests. Conflicts between research and underwriting in investment banking and between auditing and consulting in accounting firms are investigated, as are the problems that arise from rating agencies providing consulting services and from universal banks combining commercial and investment banking. Determining the appropriate remedy for a conflict is a challenge because the elimination of conflicts may also eliminate benefits from economies of scope. This study examines five generic remedies: market discipline, regulation for increased transparency, supervisory oversight, separation of financial activities by function, and socialization of the collection and distribution of information. The authors apply this framework to assess critically the Sarbanes-Oxley Act and the Global Settlement between American regulators and investment banks.
Book Synopsis Conflict of Interest in Medical Research, Education, and Practice by : Institute of Medicine
Download or read book Conflict of Interest in Medical Research, Education, and Practice written by Institute of Medicine and published by National Academies Press. This book was released on 2009-09-16 with total page 436 pages. Available in PDF, EPUB and Kindle. Book excerpt: Collaborations of physicians and researchers with industry can provide valuable benefits to society, particularly in the translation of basic scientific discoveries to new therapies and products. Recent reports and news stories have, however, documented disturbing examples of relationships and practices that put at risk the integrity of medical research, the objectivity of professional education, the quality of patient care, the soundness of clinical practice guidelines, and the public's trust in medicine. Conflict of Interest in Medical Research, Education, and Practice provides a comprehensive look at conflict of interest in medicine. It offers principles to inform the design of policies to identify, limit, and manage conflicts of interest without damaging constructive collaboration with industry. It calls for both short-term actions and long-term commitments by institutions and individuals, including leaders of academic medical centers, professional societies, patient advocacy groups, government agencies, and drug, device, and pharmaceutical companies. Failure of the medical community to take convincing action on conflicts of interest invites additional legislative or regulatory measures that may be overly broad or unduly burdensome. Conflict of Interest in Medical Research, Education, and Practice makes several recommendations for strengthening conflict of interest policies and curbing relationships that create risks with little benefit. The book will serve as an invaluable resource for individuals and organizations committed to high ethical standards in all realms of medicine.
Author :United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance Publisher : ISBN 13 : Total Pages :2614 pages Book Rating :4.F/5 ( download)
Book Synopsis Study of the Securities Industry by : United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance
Download or read book Study of the Securities Industry written by United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance and published by . This book was released on 1971 with total page 2614 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Annotated Alberta Securities Legislation by : Alberta
Download or read book Annotated Alberta Securities Legislation written by Alberta and published by CCH Canadian Limited. This book was released on 2002 with total page 1990 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Securities and Exchange Commission: Existing Post-Employment Controls Could Be Further Strengthened by : A. Nicole Clowers
Download or read book Securities and Exchange Commission: Existing Post-Employment Controls Could Be Further Strengthened written by A. Nicole Clowers and published by DIANE Publishing. This book was released on 2012-10-19 with total page 38 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs Publisher : ISBN 13 : Total Pages :404 pages Book Rating :4.0/5 ( download)
Book Synopsis Modernizing the U.S. Financial Regulatory System by : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Download or read book Modernizing the U.S. Financial Regulatory System written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 2009 with total page 404 pages. Available in PDF, EPUB and Kindle. Book excerpt:
