Securities and Exchange Commission: Steps Being taken to Make Examination Program More Risk-Based and Transparent PDF Download
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Author: United States. Government Accountability Office
Publisher: DIANE Publishing
ISBN: 9781422397794
Category :
Languages : en
Pages : 42
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Book Description
Author: United States. Government Accountability Office
Publisher: DIANE Publishing
ISBN: 9781422397794
Category :
Languages : en
Pages : 42
Get Book Here
Book Description
Author: United States. Government Accountability Office
Publisher:
ISBN:
Category :
Languages : en
Pages : 38
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Book Description
Author: United States Government Accountability Office
Publisher: Createspace Independent Publishing Platform
ISBN: 9781983996658
Category :
Languages : en
Pages : 44
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Book Description
Securities and Exchange Commission: Steps Being Taken to Make Examination Program More Risk-Based and Transparent
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 822
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Book Description
Author: Orice M. Williams
Publisher: DIANE Publishing
ISBN: 1437901670
Category : Business & Economics
Languages : en
Pages : 55
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Book Description
Since the 1998 near collapse of Long-Term Capital Mgmt. (LTCM), a large hedge fund -- a pooled invest. vehicle that is privately managed and engages in active trading of various types of securities and commodity futures and options -- the number of hedge funds has grown, and they have attracted invest. from institutional investors. This report: (1) describes how fed. financial regulators oversee hedge fund-related activities under their existing authorities; (2) examines what measures investors, creditors, and counter-parties have taken to impose market discipline on hedge funds; and (3) explores the potential for systemic risk from hedge fund-related activities and describes actions regulators have taken to address this risk. Illustrations.
Author: Charles L. Howard
Publisher: American Bar Association
ISBN: 9781604427783
Category : Law
Languages : en
Pages : 678
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Book Description
This book provides a detailed rationale for the creation of ombudsman offices; suggestions for structuring and documenting an ombudsman program and how to address issues that arise in litigation; a comprehensive presentation of various legal issues associated with organizational ombudsman programs;and numerous examples of how ombudsmen function in their organizations to illustrate how they are effective in addressing issues that people would not otherwise raise.
Author: Alicia Puente Cackley
Publisher: DIANE Publishing
ISBN: 1437980260
Category : Reference
Languages : en
Pages : 51
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Book Description
Consumers are increasingly turning for help to financial planners (FP) individuals who help clients meet their financial goals by providing assistance with such things as selecting investments and insur. products, and managing tax and estate planning. This report examines: (1) how FP are regulated and overseen at the fed. and state levels; (2) what is known about the effectiveness of this regulation; and (3) the advantages and disadvantages of alternative regulatory approaches. To address these objectives, this report reviewed fed. and state statutes and regulations, analyzed complaint and enforcement activity, and interviewed fed. and state gov't. entities and org. representing financial planners, and consumers. Illus. This is a print on demand report.
Author:
Publisher:
ISBN:
Category : Delegated legislation
Languages : en
Pages : 380
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Book Description
Author: Olivia S. Mitchell
Publisher: Oxford University Press, USA
ISBN: 0199683778
Category : Business & Economics
Languages : en
Pages : 362
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Book Description
The latest volume in the Pension Research Council series examines the financial advice profession as financial literacy becomes increasingly necessary for those saving for retirement.
Author: United States. Congress. House. Committee on Appropriations. Subcommittee on Financial Services and General Government
Publisher:
ISBN:
Category : Administrative agencies
Languages : en
Pages : 866
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Book Description
