Wall Street Polices Itself

Wall Street Polices Itself PDF Author: David P. McCaffrey
Publisher: Oxford University Press
ISBN: 0195354753
Category : Business & Economics
Languages : en
Pages : 220

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Book Description
Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures explains how the self-regulatory system for U.S. securities firms works within three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises such self-regulatory organizations as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these organizations oversee the broker-dealer firms that conduct the daily business of buying and selling securities. The system relies heavily on the firms' internal supervisory systems to prevent violations of securities laws, since they are in the best position to track their own internal activities. Firms may be fined, or subjected to much more stringent penalties, if their supervisory systems fail. A widely shared perception is that this sort of securities self-regulation does fail--often and repeatedly. Public investigations, press reports, books like Liar's Poker and Den of Thieves, and such films as Wall Street have hammered broker-dealer firms relentlessly since the early 1980s. However, the surprising truth is that we do not really know what transpires in the regulatory operations of firms like Merrill Lynch or Salomon Smith Barney because the well-publicized failures tell only part of the story. David P. McCaffrey and David W. Hart provide readers with a fuller picture by offering an in-depth examination of how this regulatory system works, the types of regulatory problems that broker-dealer firms encounter, why some firms have more problems than others, and what experiences with the system can suggest about how to improve self-regulatory systems in general. Drawing extensively upon prior work on securities regulation in the areas of economics, law, and management, this book will greatly interest professionals in the securities industry and those in business regulation generally, and will also appeal to students of corporate strategy and culture, of legal and social issues in management, and of regulation.

Wall Street Polices Itself

Wall Street Polices Itself PDF Author: David P. McCaffrey
Publisher: Oxford University Press
ISBN: 0195354753
Category : Business & Economics
Languages : en
Pages : 220

Get Book Here

Book Description
Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures explains how the self-regulatory system for U.S. securities firms works within three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises such self-regulatory organizations as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these organizations oversee the broker-dealer firms that conduct the daily business of buying and selling securities. The system relies heavily on the firms' internal supervisory systems to prevent violations of securities laws, since they are in the best position to track their own internal activities. Firms may be fined, or subjected to much more stringent penalties, if their supervisory systems fail. A widely shared perception is that this sort of securities self-regulation does fail--often and repeatedly. Public investigations, press reports, books like Liar's Poker and Den of Thieves, and such films as Wall Street have hammered broker-dealer firms relentlessly since the early 1980s. However, the surprising truth is that we do not really know what transpires in the regulatory operations of firms like Merrill Lynch or Salomon Smith Barney because the well-publicized failures tell only part of the story. David P. McCaffrey and David W. Hart provide readers with a fuller picture by offering an in-depth examination of how this regulatory system works, the types of regulatory problems that broker-dealer firms encounter, why some firms have more problems than others, and what experiences with the system can suggest about how to improve self-regulatory systems in general. Drawing extensively upon prior work on securities regulation in the areas of economics, law, and management, this book will greatly interest professionals in the securities industry and those in business regulation generally, and will also appeal to students of corporate strategy and culture, of legal and social issues in management, and of regulation.

International Encyclopedia of Economic Sociology

International Encyclopedia of Economic Sociology PDF Author: Jens Beckert
Publisher: Psychology Press
ISBN: 0415286735
Category : Business & Economics
Languages : en
Pages : 795

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Book Description
Dealing with the multiple and complex relations between economy and society, this encyclopedia focuses on the impact of social, political, and cultural factors on economic behaviour. It is useful for students and researchers in sociology, economics, political science, and also business, organization, and management studies.

The Magazine of Wall Street and Business Analyst

The Magazine of Wall Street and Business Analyst PDF Author:
Publisher:
ISBN:
Category : Investments
Languages : en
Pages : 1060

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Book Description


Stealth War

Stealth War PDF Author: Robert Spalding
Publisher: Penguin
ISBN: 0593084349
Category : Political Science
Languages : en
Pages : 258

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Book Description
China expert Robert Spalding reveals the shocking success China has had infiltrating American institutions and compromising our national security. The media often suggest that Russia poses the greatest threat to America's national security, but the real danger lies farther east. While those in power have been distracted and disorderly, China has waged a six-front war on America's economy, military, diplomacy, technology, education, and infrastructure--and they're winning. It's almost too late to undo the shocking, though nearly invisible, victories of the Chinese. In Stealth War, retired Air Force Brigadier General Robert Spalding reveals China's motives and secret attacks on the West. Chronicling how our leaders have failed to protect us over recent decades, he provides shocking evidence of some of China's most brilliant ploys, including: Placing Confucius Institutes in universities across the United States that serve to monitor and control Chinese students on campus and spread communist narratives to unsuspecting American students. Offering enormous sums to American experts who create investment funds that funnel technology to China. Signing a thirty-year agreement with the US that allows China to share peaceful nuclear technology, ensuring that they have access to American nuclear know-how. Spalding's concern isn't merely that America could lose its position on the world stage. More urgently, the Chinese Communist Party has a fundamental loathing of the legal protections America grants its people and seeks to create a world without those rights. Despite all the damage done so far, Spalding shows how it's still possible for the U.S. and the rest of the free world to combat--and win--China's stealth war.

Working in Restructured Workplaces

Working in Restructured Workplaces PDF Author: Daniel B. Cornfield
Publisher: SAGE Publications
ISBN: 1452262756
Category : Social Science
Languages : en
Pages : 513

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Book Description
What are the contemporary trends in workplace restructuring and the sociological impact on workers′ lives? Around what concepts will work be organized and groups and individuals motivated in their work into the new century? To give you definition and answers to these contemporary questions, the editors of the sociological quarterly, Work and Occupations, assembled Working in Restructured Workplaces. It addresses contradictory influences in contemporary workplace restructuring, its impact on workers′ lives, and the direction and nature of future changes in the workplace. This authentic collection of sociological thought and research consists of previous works in Work and Occupations and some commissioned specifically for this book to focus on the nature, causes, and consequences of workplace restructuring. The editors introduce a new concept of "workplace restructuring" to broaden your perspective and then assess implications for workers and their lives. The chapters address four major themes: Reconfiguring workplace status hierarchies Casualization of employment relationships Restructuring and worker marginalization Comparative labor responses to global restructuring The last two chapters chart new research agendas on the boundaries and durability of workplace restructuring.

Technology in Financial Markets

Technology in Financial Markets PDF Author: Marco Dell'Erba
Publisher: Oxford University Press
ISBN: 0198873638
Category : Law
Languages : en
Pages : 465

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Book Description
In recent years, technology has emerged as a disruptive force in the economy and finance, leading to the establishment of new economic and financial paradigms. Focusing on blockchain technology and its implementations in finance, Technology in Financial Markets proposes a novel theoretical approach to disruption. Relying on complexity science, it develops a dynamic perspective on the study of disruptive phenomena and their relationship to financial regulation and the law. It identifies the intrinsic interconnections characterizing the "multidimensional" technology-driven transformations, involving commercial practices, capital markets, corporate-governance, central banking, and financial networks. From this perspective, it considers the way they are reflected at the level of contract law, financial law, corporate law, central banking law. The book adopts a unique comparative approach and explains and clarifies the factual and historical dimensions underlying the emergence of the crypto-economy. In this book blockchain is used as a case study. Blockchain exemplifies the way each subpart of the financial system - commercial practices, financial markets, corporations, central banking, networks - and consequently each subcategory of financial regulation evolves on an individual basis. It shows how such subparts evolve altogether bringing systemic transformations, and ultimately leading to the creation of new economic and financial paradigms. The book considers both these perspectives, analysing the evolution of each subpart and emphasizing the interconnected transformations. In doing this, it adopts the structure of an ascending climax, starting from contracts, and escalating to increasingly broad dimensions, in particular capital markets, corporate governance, central banking, and financial networks.

Human Rights and Corporations

Human Rights and Corporations PDF Author: David Kinley
Publisher: Routledge
ISBN: 1351929623
Category : Political Science
Languages : en
Pages : 565

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Book Description
The erstwhile unlikely coupling of human rights and corporations is now a typical feature of corporate/community relations. High-profile corporate infringements of human rights, the rise and rise of corporate social responsibility (CSR) and on-going efforts to regulate corporate behaviour through legal regimes, at both domestic and international levels, have spawned a mountain of academic literature and commentary. This volume assembles the leading essays from this body of work. Together they frame the relationship between human rights and corporations by charting its history and salient features; tackle the conceptual perspectives of the relationship and detail the practice, problems and potential of the relationship.

Exceptional America

Exceptional America PDF Author: Mugambi Jouet
Publisher: Univ of California Press
ISBN: 0520293290
Category : Political Science
Languages : en
Pages : 372

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Book Description
Why does a country built on the concept of liberty have the highest incarceration rate in the world? How could the first Western nation to elect a person of color as its leader suffer from institutional racism? How does Christian fundamentalism coexist with gay marriage in the American imagination? In essence, what makes the United States exceptional? In this provocative exploration of American exceptionalism, Mugambi Jouet examines why Americans are far more divided than other Westerners over basic issues—including wealth inequality, health care, climate change, evolution, the literal truth of the Bible, abortion, gay rights, gun control, mass incarceration, and war. Drawing inspiration from Alexis de Tocqueville, Jouet, raised in Paris by a French mother and a Kenyan father, wields his multicultural sensibility to parse the ways in which the intense polarization of U.S. conservatives and liberals has become a key dimension of American exceptionalism—an idea widely misunderstood to mean American superiority. Instead, Jouet contends that exceptionalism, once a source of strength, may now spell decline, as unique features of U.S. history, politics, law, culture, religion, and race relations foster grave conflicts and injustices. This book offers a brilliant dissection of the American soul, in all of its outsize, clashing, and striking manifestations.

The Magazine of Wall Street

The Magazine of Wall Street PDF Author:
Publisher:
ISBN:
Category : Investments
Languages : en
Pages : 1320

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Book Description


Policing

Policing PDF Author: Tim Newburn
Publisher: Bloomsbury Publishing
ISBN: 184731967X
Category : Law
Languages : en
Pages : 312

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Book Description
Bringing together a range of leading social scientists and criminologists, this volume explores a number of key themes raised by the work of Robert Reiner. Arguably the leading policing scholar of his generation, Reiner's work over some 40 years has ranged broadly in this field, taking in the study of police history, culture, organisation, elites and relationships with the media. Always carefully situated within an analysis of the changing socio-political circumstances of policing and crime control, Robert Reiner's scholarship has been path-breaking in its impact. The 13 original essays in this volume are testament to Reiner's influence. Although reflecting the primarily British bent within his work, the essays also draw on contributors from Australia, Europe, South Africa and the United States to explore some of the leading debates of the moment. These include, but are not limited to, the impact of neo-liberalism on crime control and the challenges for modern social democracy; police culture, equality and political economy; new media and the future of policing; youth, policing and democracy, and the challenges and possibilities posed by globalisation in the fields of policing and security.