SEC Compliance and Enforcement Answer Book PDF Download
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Author: David M. Stuart
Publisher:
ISBN: 9781402436062
Category : Corporate governance
Languages : en
Pages :
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Book Description
Author: David M. Stuart
Publisher:
ISBN: 9781402436062
Category : Corporate governance
Languages : en
Pages :
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Book Description
Author: Pierre-Henri Conac
Publisher: Cambridge University Press
ISBN: 1108577423
Category : Law
Languages : en
Pages : 1363
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Book Description
Global Securities Litigation and Enforcement provides a clear and exhaustive description of the national regime for the enforcement of securities legislation in cases of misrepresentation on financial markets. It covers 29 jurisdictions worldwide, some of them are important although their law is not well known. It will be an invaluable resource for academics and students of securities litigation, as well as for lawyers, policy-makers and regulators. The book also provides a comprehensive contribution debate on whether public or private enforcement is preferable in terms of development of securities markets. It will appeal to those interested in the legal origins theory and in comparative securities law, and shows that the classification of jurisdictions within legal families does not explain the differences in legal regimes. While US securities law often serves as a model for international convergence, some of its elements, such as securities class actions, have not been adopted worldwide.
Author: Jonathan C. Dickey
Publisher: Practising Law Institute
ISBN: 9781402408175
Category : Actions and defenses
Languages : en
Pages : 0
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Book Description
Securities Litigation: A Practitioner's Guide can help companies cope effectively with this major challenge, by providing you with the guidance you need to help your clients get the competitive edge in securities class actions.
Author: Wenming Xu
Publisher: Springer Nature
ISBN: 9811909040
Category : Law
Languages : en
Pages : 157
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Book Description
This book takes a law and economic approach to examine the securities law enforcement in China and provides an in-depth empirical analysis on the enforcement inputs and outputs. In contrast to previous studies, it systematically collects a large sample of judicated securities fraud cases and public sanctions as disclosed by the listed companies. The enforcement regime is further divided into the private enforcement exemplified by the civil litigation imitated by harmed investors and public enforcement by sanctions proceedings initiated by public agencies. Academic researchers, policy makers and practitioners, who are interested in the securities market and regulation could find the information provided in this book interesting.
Author: Federal Law Enforcement Training Center. Legal Division
Publisher:
ISBN:
Category : Criminal law
Languages : en
Pages : 596
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Book Description
"The mission of the Federal Law Enforcement Training Center (FLETC) is to serve as the federal government's leader for and provider of world-class law enforcement training.
Author: Robert A. Fippinger
Publisher:
ISBN:
Category : Bonds
Languages : en
Pages : 480
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Book Description
Author: Howard L. Dorfman
Publisher:
ISBN: 9781402446047
Category : Drugs
Languages : en
Pages : 0
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Book Description
Author: James J. Park
Publisher: Cambridge University Press
ISBN: 1108944914
Category : Law
Languages : en
Pages : 199
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Book Description
Public companies now face constant pressure to meet investor expectations. A company must continually deliver strong short-term performance every quarter to maintain its stock price. This valuation treadmill creates incentives for corporations to deceive investors. Published more than twenty years after the passage of Sarbanes-Oxley, which requires all public companies to invest in measures to ensure the accuracy of their disclosures, The Valuation Treadmill shows how securities fraud became a major regulatory concern. Drawing on case studies of paradigmatic securities enforcement actions involving Xerox, Penn Central, Apple, Enron, Citigroup, and General Electric, the book argues that corporate securities fraud emerged as investors increasingly valued companies based on their future performance. Corporations now have an incentive to issue unrealistically optimistic disclosure to convince markets that their success will continue. Securities regulation must do more to protect the integrity of public companies from the pressure of the valuation treadmill.
Author: Clifford E. Kirsch
Publisher:
ISBN: 9781402407710
Category : Business & Economics
Languages : en
Pages : 0
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Book Description
Investment 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.
Author:
Publisher:
ISBN: 9781402408120
Category : Corporate governance
Languages : en
Pages : 0
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Book Description
Deskbook on Internal Investigations, Corporate Compliance and White Collar Issues provides that necessary information. Stocked with easy-to-follow checklists, the Deskbook shows you how to carry out internal investigations that spot and stop legal problems, protect the rights of employees when they're subject to investigation or prosecution, and cooperate with government investigators in ways that help reduce legal and financial damage if wrongdoing is proved.
