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Author :
Publisher :
ISBN 13 : 9781402419478
Total Pages : 709 pages
Book Rating : 4.4/5 (194 download)
Download or read book The SEC Speaks in 2013 written by and published by . This book was released on 2013 with total page 709 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
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ISBN 13 :
Total Pages : 0 pages
Book Rating : 4.:/5 (741 download)
Download or read book The SEC Speaks in 1974 written by and published by . This book was released on 1974 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 : 9781402433153
Total Pages : 755 pages
Book Rating : 4.4/5 (331 download)
Download or read book The SEC Speaks in 2019 written by and published by . This book was released on 2019 with total page 755 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : William A. Birdthistle
Publisher : Edward Elgar Publishing
ISBN 13 : 1784715050
Total Pages : 480 pages
Book Rating : 4.7/5 (847 download)
Download or read book Research Handbook on the Regulation of Mutual Funds written by William A. Birdthistle and published by Edward Elgar Publishing. This book was released on 2018-10-26 with total page 480 pages. Available in PDF, EPUB and Kindle. Book excerpt: With fifty trillion in worldwide assets, the growth of mutual funds is a truly global phenomenon and deserves a broad international analysis. Local political economies and legal regimes create different regulatory preferences for the oversight of these funds, and academics, public officials, and legal practitioners wishing to understand the global investing environment will require a keen awareness of these international differences. The contributors, leading scholars in the field of investment law from around the world, provide a current legal analysis of funds from a variety of perspectives and using an array of methodologies that consider the large fundamental questions governing the role and regulation of investment funds. This volume also explores the identity and behavior of investors as well as issues surrounding less orthodox funds, such as money market funds, ETFs, and private funds.This Handbook will provide legal and financial scholars, academics, lawyers and regulators with a vital tool for working with mutual funds.
Author : United States. Congress. House. Committee on Financial Services
Publisher :
ISBN 13 :
Total Pages : 80 pages
Book Rating : 4.:/5 (319 download)
Download or read book Rethinking the Federal Reserve's Many Mandates on Its 100-year Anniversary written by United States. Congress. House. Committee on Financial Services and published by . This book was released on 2014 with total page 80 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Practising Law Institute
Publisher :
ISBN 13 : 9781402428562
Total Pages : 761 pages
Book Rating : 4.4/5 (285 download)
Download or read book The SEC Speaks In 2017 written by Practising Law Institute and published by . This book was released on 2017-02-27 with total page 761 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Practising Law Institute
Publisher :
ISBN 13 : 9781402430770
Total Pages : pages
Book Rating : 4.4/5 (37 download)
Download or read book The SEC Speaks In 2018 written by Practising Law Institute and published by . This book was released on 2018-02-26 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Andrew J Ceresney
Publisher :
ISBN 13 : 9781402426230
Total Pages : 867 pages
Book Rating : 4.4/5 (262 download)
Download or read book The SEC Speaks in 2016 written by Andrew J Ceresney and published by . This book was released on 2016 with total page 867 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Justin O'Brien
Publisher : Bloomsbury Publishing
ISBN 13 : 1782254404
Total Pages : 523 pages
Book Rating : 4.7/5 (822 download)
Download or read book The Triumph, Tragedy and Lost Legacy of James M Landis written by Justin O'Brien and published by Bloomsbury Publishing. This book was released on 2014-11-13 with total page 523 pages. Available in PDF, EPUB and Kindle. Book excerpt: James M Landis – scholar, administrator, advocate and political adviser – is known for his seminal contribution to the creation of the modern system of market regulation in the USA. As a highly influential participant in the politics of the New Deal he drafted the statute which was to become the foundation for securities regulation in the US, and by extension the founding principle of financial market regulation across the world. He was also a complex and in some ways tragic figure, whose glittering career collapsed following the revelation that he had failed to pay tax for a five year period in the 1950s. The oversight was to cost possible elevation to the Supreme Court, forced prosecution and sentencing in 1963 to one month's imprisonment, commuted to forced hospitalisation, and subsequent suspension of licence to practise. This candid and revealing book sets his life in the context of his work as an academic, legislative draftsman, administrator and Dean of Harvard Law School. In rescuing from history Landis's battles and achievements in regulatory design, theory and practice, it speaks directly to the perennial problems in financial market regulation - how to deal with institutions deemed too big to fail, how to regulate the sale of complex financial instruments and what role can the professions play as gatekeepers of market integrity. It argues that in failing to learn from the lessons of history we limit the capacity of regulatory intervention to facilitate cultural change, without which contemporary responses to financial crises are destined to fail.
Author :
Publisher :
ISBN 13 :
Total Pages : 1130 pages
Book Rating : 4.F/5 ( download)
Download or read book The SEC Speaks in ... written by and published by . This book was released on 2009 with total page 1130 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Jerry W. Markham
Publisher : Edward Elgar Publishing
ISBN 13 : 1782540075
Total Pages : 544 pages
Book Rating : 4.7/5 (825 download)
Download or read book Research Handbook on Securities Regulation in the United States written by Jerry W. Markham and published by Edward Elgar Publishing. This book was released on 2014-07-31 with total page 544 pages. Available in PDF, EPUB and Kindle. Book excerpt: This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statute
Author : United States. Congress. House. Committee on Appropriations. Subcommittee on Financial Services and General Government
Publisher :
ISBN 13 :
Total Pages : 918 pages
Book Rating : 4.3/5 ( download)
Download or read book Financial Services and General Government Appropriations for 2015 written by United States. Congress. House. Committee on Appropriations. Subcommittee on Financial Services and General Government and published by . This book was released on 2014 with total page 918 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : D. Gordon Smith
Publisher : Cambridge University Press
ISBN 13 : 1316772152
Total Pages : 575 pages
Book Rating : 4.3/5 (167 download)
Download or read book The Cambridge Handbook of Law and Entrepreneurship in the United States written by D. Gordon Smith and published by Cambridge University Press. This book was released on 2022-04-14 with total page 575 pages. Available in PDF, EPUB and Kindle. Book excerpt: Law plays a key role in determining the level of entrepreneurial action in society. Legal rules seek to define property rights, facilitate private ordering, and impose liability for legal wrongs, thereby attempting to establish conditions under which individuals may act. These rules also channel the development of technology, regulate information flows, and determine parameters of competition. Depending on their structure and implementation, legal rules can also discourage individuals from acting. It is thus crucial to determine which legal rules and institutions best enable entrepreneurs, whose core function is to challenge incumbency. This volume assembles legal experts from diverse fields to examine the role of law in facilitating or impeding entrepreneurial action. Contributors explore issues arising in current policy debates, including the incentive effect of legal rules on startup activity; the role of law in promoting or foreclosing market entry; and the effect of entrepreneurial action on legal doctrine.
Author : Richard A. Rosen
Publisher : Wolters Kluwer
ISBN 13 : 073551478X
Total Pages : 2486 pages
Book Rating : 4.7/5 (355 download)
Download or read book Settlement Agreements in Commercial Disputes written by Richard A. Rosen and published by Wolters Kluwer. This book was released on 2000-01-01 with total page 2486 pages. Available in PDF, EPUB and Kindle. Book excerpt: With nearly all corporate disputes being resolved in settlements, drafting strong, enforceable settlement agreements is one of the most critical and challenging areas of corporate and commercial law practice today. Yet there has never been a single, comprehensive guide to the complex legal issues involved in negotiating, drafting and enforcing settlement agreements until Settlement Agreements in Commercial Disputes. Here, in two comprehensive volumes, including CD-Rom and forms, top experts offer insights gained from many years of litigation and dispute resolution experience to give you critical tools needed to prepare successful settlements: Sophisticated analysis of the law and its application Detailed planning of effective drafting techniques In-depth coverage of "hot issues," such as multi-party settlements and tax considerations Strategies for handling "special topics," such as tax and environmental concerns A time-saving library of model agreements on disk for a variety of disputes and jurisdictions Extensive case citations And much more Whether you are looking for the best way to handle a particularly troubling issue, or simply want to be sure you have anticipated every legal eventuality, Settlement Agreements in Commercial Disputes will give you the insights, information and guidance needed to prepare settlement agreements that meet your client's or company's objectives.
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)
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.
Author : International Monetary Fund
Publisher : International Monetary Fund
ISBN 13 : 1484357469
Total Pages : 184 pages
Book Rating : 4.4/5 (843 download)
Download or read book Global Financial Stability Report, April 2014 written by International Monetary Fund and published by International Monetary Fund. This book was released on 2014-04-09 with total page 184 pages. Available in PDF, EPUB and Kindle. Book excerpt: The April 2014 Global Financial Stability Report finds that, despite much progress, the global financial system remains in a transitional period with stability conditions far from normal. Advanced and emerging market economies alike need to make a successful shift from liquidity- to growth-driven markets, which will require a number of elements, including a normalization of U.S. monetary policy; financial rebalancing in emerging markets; further progress in the euro area integration; and continued implementation of “Abenomics” in Japan. This report also examines how changes in the investor base and financial deepening affect emerging market economies as well as looks at the issue of banks considered too important to fail, providing new estimates of the implicit funding subsidy these banks receive.
Author : Scott McKay
Publisher : John Wiley & Sons
ISBN 13 : 1940235081
Total Pages : 144 pages
Book Rating : 4.9/5 (42 download)
Download or read book Risk Assessment for Mid-Sized Organisations written by Scott McKay and published by John Wiley & Sons. This book was released on 2017-11-06 with total page 144 pages. Available in PDF, EPUB and Kindle. Book excerpt: Companies often struggle with the concept of enterprise risk management. The heart of ERM is the risk assessment process that has evolved from the COSO framework. This resource offers practical examples and explanations that lay out a clearly defined framework for approaching enterprise risk management from start to finish. It identifies risk at the entity level in small and medium size enterprises, and allows you to develop a tailored approach to an organization’s risk management requirements. The publication features tightly written strategies and helpful diagrams that translate COSO guidelines into tactical plans and it includes a free download containing: A set of Excel worksheets that show how following the ERM tactics will impact quantitative financial measurements A PowerPoint presentation for training staff that are involved in the ERM process Together this approach will allow you to create a solid structure for a risk management process that helps you avoid the internal and external risks that damaged so many organizations in the recent past. You will be able to: Create a common language to define, identify, evaluate, and manage risk Establish and agree on risk tolerances and risk appetite Identify risk management expectations, current gaps, and risk owners Leverage cross-functional expertise to manage risk to within acceptable levels
