Author: United States. Securities and Exchange Commission. Advisory Committee on Enforcement Policies and Practices
Publisher:
ISBN:
Category :
Languages : en
Pages : 92

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Author: Nicole A. Baker
Publisher: American Bar Association
ISBN: 9781590317297
Category : Business & Economics
Languages : en
Pages : 774

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Book Description
This new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions.

Author: United States. Department of Health, Education, and Welfare. Secretary's Advisory Committee on Automated Personal Data Systems
Publisher:
ISBN:
Category : Business records
Languages : en
Pages : 396

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Author: American Bar Association. House of Delegates
Publisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216

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Book Description
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: United States. Advisory Committee on Corporate Disclosure
Publisher:
ISBN:
Category : Corporations
Languages : en
Pages : 894

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Author: United States Government Accountability Office
Publisher: Lulu.com
ISBN: 0359541828
Category : Reference
Languages : en
Pages : 88

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Book Description
Policymakers and program managers are continually seeking ways to improve accountability in achieving an entity's mission. A key factor in improving accountability in achieving an entity's mission is to implement an effective internal control system. An effective internal control system helps an entity adapt to shifting environments, evolving demands, changing risks, and new priorities. As programs change and entities strive to improve operational processes and implement new technology, management continually evaluates its internal control system so that it is effective and updated when necessary. Section 3512 (c) and (d) of Title 31 of the United States Code (commonly known as the Federal Managers' Financial Integrity Act (FMFIA)) requires the Comptroller General to issue standards for internal control in the federal government.

Author: United States. Congress. Senate. Committee on Government Operations
Publisher:
ISBN:
Category : Executive departments
Languages : en
Pages : 1218

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Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Banking law
Languages : en
Pages : 1418

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Author: United States. Congress. Senate. Governmental Operations
Publisher:
ISBN:
Category :
Languages : en
Pages : 1256

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Author: United States. President
Publisher:
ISBN:
Category : Executive advisory bodies
Languages : en
Pages : 1204

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Book Description