Summary Narrative of Chief Compliance Officer Liability PDF Download
Are you looking for read ebook online? Search for your book and save it on your Kindle device, PC, phones or tablets. Download Summary Narrative of Chief Compliance Officer Liability PDF full book. Access full book title Summary Narrative of Chief Compliance Officer Liability by Luke Trompeter. Download full books in PDF and EPUB format.
Author: Luke Trompeter
Publisher:
ISBN:
Category :
Languages : en
Pages : 14
Get Book Here
Book Description
The modern business environment is considered more complex and challenging than ever before. Businesses now rely heavily on their Chief Compliance Officers (“CCO”) to ensure their business practices adhere to the increasingly numerous laws and regulations that apply to their operations. The number of CCOs in major financial institutions has correspondingly doubled since 2005. This Article will summarize the principal laws, regulations, and jurisprudence that can confer personal liability for a CCO in the banking and finance industries. While the author has attempted to include a variety of industries to which such laws apply, this piece does not purport to be a complete examination of every possible law, regulation, rule, guideline, or edict imposed through enforcement applicable to all industries.
Author: Luke Trompeter
Publisher:
ISBN:
Category :
Languages : en
Pages : 14
Get Book Here
Book Description
The modern business environment is considered more complex and challenging than ever before. Businesses now rely heavily on their Chief Compliance Officers (“CCO”) to ensure their business practices adhere to the increasingly numerous laws and regulations that apply to their operations. The number of CCOs in major financial institutions has correspondingly doubled since 2005. This Article will summarize the principal laws, regulations, and jurisprudence that can confer personal liability for a CCO in the banking and finance industries. While the author has attempted to include a variety of industries to which such laws apply, this piece does not purport to be a complete examination of every possible law, regulation, rule, guideline, or edict imposed through enforcement applicable to all industries.
Author: William Saffady
Publisher: Rowman & Littlefield
ISBN: 1538167689
Category : Business & Economics
Languages : en
Pages : 305
Get Book Here
Book Description
Here is a clear explanation and analysis of the fundamental principles, concepts, and issues associated with information compliance, which is broadly defined as the act or process of conforming to, acquiescing to, or obeying rules, regulations, orders, or other requirements that apply to the data, documents, images, and other information.
Author: United States. Department of Justice
Publisher:
ISBN:
Category : Justice, Administration of
Languages : en
Pages :
Get Book Here
Book Description
Author: American Bar Association. House of Delegates
Publisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216
Get Book Here
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. Office of Federal Contract Compliance Programs
Publisher:
ISBN:
Category : Affirmative action programs
Languages : en
Pages : 1110
Get Book Here
Book Description
Author: Benjamin van Rooij
Publisher: Cambridge University Press
ISBN: 1108754139
Category : Law
Languages : en
Pages : 1559
Get Book Here
Book Description
Compliance has become key to our contemporary markets, societies, and modes of governance across a variety of public and private domains. While this has stimulated a rich body of empirical and practical expertise on compliance, thus far, there has been no comprehensive understanding of what compliance is or how it influences various fields and sectors. The academic knowledge of compliance has remained siloed along different disciplinary domains, regulatory and legal spheres, and mechanisms and interventions. This handbook bridges these divides to provide the first one-stop overview of what compliance is, how we can best study it, and the core mechanisms that shape it. Written by leading experts, chapters offer perspectives from across law, regulatory studies, management science, criminology, economics, sociology, and psychology. This volume is the definitive and comprehensive account of compliance.
Author: N. Peter Rasmussen
Publisher: Aspen Publishers
ISBN: 9780808025740
Category : Directors of corporations
Languages : en
Pages : 380
Get Book Here
Book Description
Responsibilities of Corporate Officers and Directors under FederalSecurities Law alerts board members and management to their personalduties and liabilities under the federal securities laws. From the vast bodyof federal laws, rules, administrative interpretations, and court decisionsdealing with securities offerings and transactions, those of particularinterest to corporate officers and directors as individuals are discussedhere. The materials focus on the Securities Act of 1933 and theSecurities Exchange Act of 1934, as well as pertinent provisions of theInvestment Company Act of 1940.The 2010 -2011 Edition includes new discussion of the following:Dodd-Frank Wall Street Reform and Consumer Protection ActShareholder access to proxiesSEC enforcementRecent case law on fraud liabilityProxy disclosure concerning Chairman-CEO role, hedging arrangements,compensation consultants
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 1040
Get Book Here
Book Description
Author:
Publisher: Lulu.com
ISBN: 9291316695
Category : Bank capital
Languages : en
Pages : 294
Get Book Here
Book Description
Author:
Publisher:
ISBN:
Category : Administrative law
Languages : en
Pages : 804
Get Book Here
Book Description
The Code of Federal Regulations is the codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the Federal Government.
