SEC Compliance and Enforcement Answer Book
Author: David M. Stuart
Publisher:
Published: 2020
Total Pages:
ISBN-13: 9781402436062
DOWNLOAD EBOOKPosts
The Securities Regulatory Handbook
Author: PricewaterhouseCoopers
Publisher: M.E. Sharpe
Published: 2001
Total Pages: 164
ISBN-13: 9780765606549
DOWNLOAD EBOOKA guide, for financial institutions, to constraints on securities underwriting, brokerage activities, and trading and investments. It provides background and interprets bank securities laws covering underwriting, trading; mutual funds; and derivative products and overseas securities activities.
Government Securities Act of 1986
Author: United States
Publisher:
Published: 1987
Total Pages: 16
ISBN-13:
DOWNLOAD EBOOKThe REGTECH Book
Author: Janos Barberis
Publisher: John Wiley & Sons
Published: 2019-08-06
Total Pages: 970
ISBN-13: 1119362172
DOWNLOAD EBOOKThe Regulatory Technology Handbook The transformational potential of RegTech has been confirmed in recent years with US$1.2 billion invested in start-ups (2017) and an expected additional spending of US$100 billion by 2020. Regulatory technology will not only provide efficiency gains for compliance and reporting functions, it will radically change market structure and supervision. This book, the first of its kind, is providing a comprehensive and invaluable source of information aimed at corporates, regulators, compliance professionals, start-ups and policy makers. The REGTECH Book brings into a single volume the curated industry expertise delivered by subject matter experts. It serves as a single reference point to understand the RegTech eco-system and its impact on the industry. Readers will learn foundational notions such as: • The economic impact of digitization and datafication of regulation • How new technologies (Artificial Intelligence, Blockchain) are applied to compliance • Business use cases of RegTech for cost-reduction and new product origination • The future regulatory landscape affecting financial institutions, technology companies and other industries Edited by world-class academics and written by compliance professionals, regulators, entrepreneurs and business leaders, the RegTech Book represents an invaluable resource that paves the way for 21st century regulatory innovation.
The Securities Enforcement Manual
Author: Roger M. Adelman
Publisher: Section of Administrative Law and Regulatory an Bar Associat
Published: 1997
Total Pages: 554
ISBN-13:
DOWNLOAD EBOOKThe Law of Securities Regulation
Author: Thomas Lee Hazen
Publisher: West Group Publishing
Published: 2002
Total Pages: 1194
ISBN-13:
DOWNLOAD EBOOK"This Hornbook is aimed primarily at law students. It is a substantial abridgement of my four-volume Treatise on the law of securities regulation"--P. ix.
Handbook of Financial Intermediation and Banking
Author: Anjan V. Thakor
Publisher: Elsevier
Published: 2008-07-07
Total Pages: 605
ISBN-13: 0080559921
DOWNLOAD EBOOKThe growth of financial intermediation research has yielded a host of questions that have pushed "design" issues to the fore even as the boundary between financial intermediation and corporate finance has blurred. This volume presents review articles on six major topics that are connected by information-theoretic tools and characterized by valuable perspectives and important questions for future research. Touching upon a wide range of issues pertaining to the designs of securities, institutions, trading mechanisms and markets, industry structure, and regulation, this volume will encourage bold new efforts to shape financial intermediaries in the future. - Original review articles offer valuable perspectives on research issues appearing in top journals - Twenty articles are grouped by six major topics, together defining the leading research edge of financial intermediation - Corporate finance researchers will find affinities in the tools, methods, and conclusions featured in these articles
Principles and Practice of Securities Regulations in Singapore
Author: Hans Tjio
Publisher:
Published: 2017
Total Pages: 703
ISBN-13: 9789814770446
DOWNLOAD EBOOKInvestment Adviser Regulation
Author: Clifford E. Kirsch
Publisher:
Published: 2006
Total Pages: 0
ISBN-13: 9781402407710
DOWNLOAD EBOOKInvestment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
Securities Regulation
Author: Alan R. Palmiter
Publisher:
Published: 2005
Total Pages: 564
ISBN-13:
DOWNLOAD EBOOKStudents depend on Securities Regulation: Examples & Explanations because it gives them what they need: - coverage of key concepts, such as public offerings, exemptions from registration, liability in securities offerings, materiality, definition of security, securities fraud, insider trading, SEC enforcement, and cross-border regulation - Examples and Explanations approach that reinforces learning by combining textual material with well-written examples, questions, and explanations - assistance in navigating a complex subject, beginning with clear delineations of the basic concepts of securities regulation and then applying the concepts in specific areas - numerous examples drawn from newsworthy events - content corresponds to the topics in the leading casebooks - sound and logical organization moves from major themes to specifics - clear and straightforward writing style The Third Edition keeps pace with developments in the law: - Sarbanes-Oxley Act with comprehensive overview and developments, including new problems - new SEC rules on expanded risk disclosure, company certifications, and lawyer up the ladder reporting - new material on IPO abuses: spinning, flipping, gun-jumping - new NYSE and NASDAQ rules on corporate governance listing standards and stock analysts - new and updated cases - new and revised examples
